Nex Systems
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JAMES LEO CARROLL

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

    07/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016911201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Leo Carroll, Respondent CRD No. 4351382 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Leo Carroll, submit this Letter of Acceptance, Waiver and Consent ("AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

    Reference 2009016911201data-portal.finra.orgfinra.org

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