Nex Systems
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JAMES MICHAEL MADDEN

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

    03/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040336501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Michael Madden, Respondent Registered Representative and Registered Principal CRD No. 1086380 Pursuant to FINR-A 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 he alleged rule violations described below. This AWC

    Reference 2014040336501data-portal.finra.orgfinra.org

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