Nex Systems
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JAMES J. STIGMAN

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

    10/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028380201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James J. Stigman, Respondent Investment Company and Variable Contracts Products Representative and General Securities Representative [CRD No. 4418974] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James J. Stigman, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2011028380201data-portal.finra.orgfinra.org

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