Nex Systems
Type not stated

James Ho

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

    07/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043316502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Ho, Respondent CRD No. 1355188 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Repondent Jameis Ho "Respondent" or "Ho") submits this Letter of Acceptance, Waiver and Consent ("AWC') for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2014043316502data-portal.finra.orgfinra.org

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