Nex Systems
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James Paul Kimmel Sr.

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

    05/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036812201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: James Paul Kimmel Sr. (CRD No. 1167508), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Paul Kimmel Sr. ("Kimmel" or “Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2013036812201data-portal.finra.orgfinra.org

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