Nex Systems
Type not stated

JAMES L. WILKERSON

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030344701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James L. Wilkerson, Respondent CRD No. 1109116 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James L. Wilkerson ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2011030344701data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.