Nex Systems
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Buckman, Buckman & Reid

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

    01/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029206503 To: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Buckman, Buckman & Reid (CRD No. 2340), and H. John Buckman (CRD No. 1090909), Respondents Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Buckman, Buckman & Reid (the "Firm" or "BBR") and H. John Buckman ("Buckman") (collectively "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the

    Reference 2011029206503data-portal.finra.orgfinra.org

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