Nex Systems
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JAMES R. THOMAS

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

    06/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080145383 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James R. Thomas, Respondent General Securities Representative CRD No. 1676876 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James R. Thomas ("Thomas" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2008014538301data-portal.finra.orgfinra.org

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