Nex Systems
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JAMES W. BROPHY

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

    09/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002714501 TO: Department of Enforcement NASD RE: James W. Brophy, Respondent General Securities Representative CRD No. 1144654 Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted,

    Reference 2005002714501data-portal.finra.orgfinra.org

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