Nex Systems
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James S. Holbrook 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

    06/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041318501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James S. Holbrook, Jr., Respondent General Securities Principal CRD No. 1455973 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, James S. Holbrook, Jr. ("Holbrook" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2014041318501data-portal.finra.orgfinra.org

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