Nex Systems
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James Van Ham

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

    06/16/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059249501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Van Ham, Respondent CRD No. 1231636 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Van Ham submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059249501finra.orgdata-portal.finra.org

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