Nex Systems
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JAMES EDWARD TUCKETT

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

    07/28/2008: FINRA LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 200700842951 To: Department of Enforcement {"Enforcement") Financial Industry Regulatory Authority ("FINRA") Re: James Edward Tuckett ("Tuckett") General Securities Representative CRD 1002182 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, James Edward Tuckett ("Tuckett") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on

    Reference 2007009429501data-portal.finra.orgfinra.org

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