Nex Systems
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JENNIFER JOAN JAMES

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

    06/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20060051583-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Jennifer Joan James, Respondent CRD No. 2377678 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jennifer Joan James ("James"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2006005158302data-portal.finra.orgfinra.org

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