Nex Systems
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JAMES KEITH COX

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

    06/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047812901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Keith Cox, Respondent General Securities Principal, General Securities Representative and Investment Company and Variable Contracts Products Representative CRD #2365633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I James Keith Cox, submit this

    Reference 2015047812901data-portal.finra.orgfinra.org

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