JOHN HALSEY BUCK, III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/11/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20180576297-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Halsey Buck III, Respondent General Securities Representative CRD No. 34383 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Halsey Buck III ("Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2018057629701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 34383 |
Other names1
Also known as1
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