Nex Systems
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JAMES LOUIS ORLEANS

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

    06/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043417509 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: James Louis Orleans, Respondent General Securities Representative CRD No. 1335726 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Louis Orleans ("Orleans" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2015043417509finra.orgdata-portal.finra.org

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