Nex Systems
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JAMES JOSEPH MILLER

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

    02/13/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 2008014125301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Joseph Miller, Respondent Registered Representative CRD No. 1057886 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, James Joseph Miller ("Respondent" or "Miller") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2008014125301data-portal.finra.orgfinra.org

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