Nex Systems
Type not stated

JAMES RICHARD WILLARD III

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

    12/18/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES RICHARD WILLARD, III (CRD No. 1212281), Respondent. Disciplinary Proceeding No. 2006006046401 Hearing Officer - MC EXTENDED HEARING PANEL DECISION December 18, 2009 Respondent is: (i) suspended from associating with any FINRA member firm in any capacity for 30 business days and fined $5,000 for making unsuitable recommendations to a customer, in violation of Conduct Rules 2110, 2310, and

    06/06/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JAMES RICHARD WILLARD, III (CRD No. 1212281), RESPONDENT. DISCIPLINARY PROCEEDING No. 2006006046401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On or about April 19, 2006, Respondent James Richard Willard, III made unsuitable recommendations to an elderly customer. In order to avoid age-related heightened scrutiny by his firm's compliance department of these unsuitable

    Reference 2006006046401data-portal.finra.orgfinra.orgdata-portal.finra.org

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