Nex Systems
Type not stated

JAMES E. TETTENBORN

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

    03/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C040500 11 To: Department of Enforcement NASD Re: James E. Tettenborn General Securities Representative (CRD No. 812837) Pursuant to Rule 9216 of the NASD Code of Procedure, I, James E. Tettenborn, 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

    Reference C04050011data-portal.finra.orgfinra.org

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