Nex Systems
Type not stated

James Patrick Norris

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

    06/23/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063245602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Patrick Norris (Respondent) General Securities Representative CRD No. 1218218 Pursuant to FINRA Rule 9216, Respondent James Patrick Norris submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063245602finra.orgdata-portal.finra.org

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