Nex Systems
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JAMES K. BREEZE

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

    06/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080128465-01 Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James K. Breeze, Respondent Limited Representative - Investment Company and Variable Contracts Products CRD No. 2591120 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance

    Reference 2008012846501finra.orgdata-portal.finra.org

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