Nex Systems
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James Lee

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

    04/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064508201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) James Lee, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1874132 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent James Lee (“Lee” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019064508201finra.orgdata-portal.finra.org

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