Nex Systems
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JAMES ROSEBROUGH

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

    02/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038263201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Rosebrough, Respondent General Securities Representative CRD No. 4355308 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2013038263201finra.orgdata-portal.finra.org

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