Nex Systems
Type not stated

JAMES RUSSELL MCCARTHY Jr.

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

    03/27/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003916902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Russell McCarthy, Jr., Respondent General Securities Principal CRD No. 1123445 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiyer and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2006003916902data-portal.finra.orgfinra.org

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