Nex Systems
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JAMES M. BEGALE

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

    04/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050032 TO: Department of Enforcement NASD RE: James M. Begale, Respondent Registered Representative (CRD No. 16874) Pursuant to Rule 9216 of NASD Code of Procedure, I, James M. Begale, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me

    Reference C8A050032data-portal.finra.orgfinra.org

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