Nex Systems
Type not stated

JAMES W. APPLEWHITE III

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

    05/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034748801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James W. Applewhite, III, Respondent General Securities Representative [CRD No. 1209709] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James W. Applewhite, III, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2012034748801data-portal.finra.orgfinra.org

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