Nex Systems
Type not stated

JAMES M. COYNE SR.

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

    01/03/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES M. COYNE, SR. (CRD No. 601719) Respondent. Disciplinary Proceeding No. C9A030041 Hearing Officer - DRP AMENDED PANEL DECISION January 3, 2005 Respondent violated NASD Conduct Rules 2310 and 2110 and IM-2310-2 by recommending unsuitable trading in an account. For these violations, Respondent is suspended for four months from association with any member firm in any capacity and fined $10,000. Charges that Respondent churned the

    Reference C9A030041data-portal.finra.orgfinra.org

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