Nex Systems
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JAMES FRANE WILKES

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

    02/02/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060049314-01 TO: Department of Enforcement NASD RE: James Frane Wilkes, Respondent Investment Company Products / Variable Contracts Representative CRD No. 1344175 Pursuant to Rule 9216 of NASD Code of Procedure, I submit 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.

    Reference 2006004931401finra.orgdata-portal.finra.org

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