Nex Systems
Type not stated

James Pruitt II

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/03/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081405401 TO: Depa1iment of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Pruitt, II (Respondent) General Securities Representative CRD No. 5808107 Pursuant to FINRA Rule 9216, Respondent James Pruitt, II submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2024081405401data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.