Nex Systems
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JAMES KING

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

    10/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025271401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James King, Respondent General Securities Representative CRD No. 1798229 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James King ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2010025271401data-portal.finra.orgfinra.org

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