Nex Systems
Type not stated

JAMES R. KELLY

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

    01/17/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. James R. Kelly, CRD No. 1323155, Respondent. Disciplinary Proceeding No. 2006005457801 Hearing Officer AWH ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 17,2008 INTRODUCTION Disciplinary Proceeding No. 2006005457801 was filed on November 26, 2007, by the Department of Market Regulation of FINRA ("Complainant"). Respondent James R. Kelly submitted an Offer of Settlement ("Offer")

    Reference 2006005457801data-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.