Nex Systems
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James Scott Harrison

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

    02/17/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061398501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Scott Harrison (Respondent) Former General Securities Representative CRD No. 3259086 Pursuant to FINRA Rule 9216, Respondent James Scott Harrison submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019061398501data-portal.finra.orgfinra.org

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