Nex Systems
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JAMES S. FLEMING 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

    08/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035035902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James S. Fleming III, Respondent Registered Representative CRD No. 846806 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James S. Fleming III ("Fleming" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2013035035902data-portal.finra.orgfinra.org

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