Nex Systems
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JAMES F. QUEENY

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

    10/04/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112004031101 TO: Department of Enforcement NASD RE: James F. Queeny, Respondent General Securities Representative CRD No. 1088832 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent James F. Queeny ("Queeny") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

    Reference E112004031101data-portal.finra.orgfinra.org

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