Nex Systems
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JAMES MICHAEL ADGAR

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

    12/27/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050023229-01 TO: Department of Enforcement NASD RE: James Michael Adgar Investment Company Products / Variable Contracts Representative CRD No. 4734751 Pursuant to Rule 9216 of NASD 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 described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

    Reference 2005002322901data-portal.finra.orgfinra.org

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