Nex Systems
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JAMES N. JOHN

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

    01/26/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002308401 TO: Department of Enforcement NASD RE: James N. John, Respondent Investment Company and Variable Contracts Products Representative [CRD No. 1593232] 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

    Reference 2005002308401finra.orgdata-portal.finra.org

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