Nex Systems
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JAMES W. ANDERSON

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

    01/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045755001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James W. Anderson, Respondent General Securities Principal CRD No. 1060765 Pursuant to FINRA Rule 9216 of FINRA' 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. This AWC is submitted on the

    Reference 2015045755001data-portal.finra.orgfinra.org

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