Nex Systems
Type not stated

James Thomas Barker

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

    10/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045096401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Thomas Barker, Respondent General Securities Representative CRD No. 855803 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Thomas Barker ("Barker" or the "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2015045096401finra.orgdata-portal.finra.org

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