Nex Systems
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JAMES EDWARD MCGRATH

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JAMES EDWARD MCGRATH, CRD No. 1582846, AND J.P. TURNER & COMPANY, LLC, BD No. 43177, RESPONDENTS. DISCIPLINARY PROCEEDING No. 2009016612701 Hearing Officer - LBB ORDER ACCEPTING OFFER OF SETTLEMENT DATED: SEPTEMBER 14, 2011 INTRODUCTION Disciplinary Proceeding No. 2009016612701 was filed on January 28, 2011 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    Reference 2009016612701data-portal.finra.orgfinra.org

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