Nex Systems
Type not stated

James M. Green

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

    10/17/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079059301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James M. Green (Respondent) Former General Securities Representative CRD No. 4955243 Pursuant to FINRA Rule 9216, Respondent James M. Green submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2023079059301data-portal.finra.orgfinra.org

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