Nex Systems
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James G. Kardell

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

    01/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130374171 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James G. Kardell, Respondent Capital Markets Front Office Applications Program Consultant CRD No. 5217717 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James G. Kardell submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2013037417101data-portal.finra.orgfinra.org

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