Nex Systems
Type not stated

EDWIN EMMETT LICKISS

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

    07/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130377343 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edwin Emmett Lickiss, Respondent General Securities Principal CRD No. 844969 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Edwin Emmett Lickiss ("Lickiss"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2013037734301data-portal.finra.orgfinra.org

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