Nex Systems
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Jim D. Fink

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

    08/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049656101 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA") RE: Jim D. Fink, Respondent Former Investment Company Products and Variable Contracts Representative CRD No. 5833581 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. I submit this Letterof Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2016049656101data-portal.finra.orgfinra.org

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