Nex Systems
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James Michael Kennedy

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

    11/13/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY CORRECTED LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047306901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: James Michael Kennedy, Respondent CRD No. 858829 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, James Kennedy (“Respondent”) submit this Letter of Acceptance, Waiver

    Reference 2015047306901data-portal.finra.orgfinra.org

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