Nex Systems
Type not stated

JAMES J. ST. CLAIR JR.

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

    08/26/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072003014001 TO: Department of Enforcement NASD RE: Viewtrade Securities, Inc., Respondent [CRD No. 46987] and James J. St. Clair, Jr., Respondent Equity Trader, Financial and Operations Principal, General Securities Principal, General Securities Representative, Municipal Securities Principal, and Municipal Securities Representative [CRD No. 1550599] Pursuant to Rule 9216 of the NASD Code of Procedure, Viewtrade Securites, Inc. and

    Reference E072003014001finra.orgdata-portal.finra.org

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