Nex Systems
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GORDON R. KUTZ III

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

    06/01/2006: NASD LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2005000537401 TO: Department of Enforcement NASD RE: Gordon R. Kutt III, Respondent Registered Representative CRD No. 2566712 Pursuant lo Rule 9216 of the NASD Code of Procedure, I submit this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging

    Reference 2005000537401data-portal.finra.orgfinra.org

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