Nex Systems
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JAMES H. PURTLE

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

    10/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAVIER AND CONSENT NO. 2013036525701 TO: DEPARTMENT OF ENFORCEMENT FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") RE: James Harrison Purtle, Respondent General Securities Representative CRD No. 2169206 Pursuant to FINRA Rule 9216 OF FINRA'S Code of Procedure, I, James H. Purtle ("Purtle") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2013036525701data-portal.finra.orgfinra.org

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