Nex Systems
Type not stated

JAMES V. PARDY

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ELI2004001101 TO: Department of Enforcement NASD RE: James V. Pardy General Securities Principal [CRD No. 2900751] Pursuant to Rule 9216 of NASD Code of Procedure, James V. Pardy ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against

    Reference ELI2004001101data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.