Nex Systems
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JAMES S. JANG

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

    07/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070091180-02 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James S. Jang, Respondent Limited Representative - Investment Company and Variable Contracts Products CRD No. 4048160 Pursuant to NASD Rule 9216 ofFINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2007009118002data-portal.finra.orgfinra.org

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