Nex Systems
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JOHN THOMAS FINANCIAL

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

    09/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2009016304801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Thomas Financial BD No. 40982 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Thomas Financial ("JTF" or "Respondent") submits 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 2009016304801finra.orgdata-portal.finra.org

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