Nex Systems
Type not stated

JAMES MARTIN KIERSTEAD

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

    10/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038651901 TO : Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: James Martin Kierstead, Respondent General Securities Principal General Securities Representative CRD No. 1431580 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2013038651901data-portal.finra.orgfinra.org

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