Nex Systems
Type not stated

JAMES GLENN TALLANT

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Glenn Tallant [CRD No. 1726582], Respondent. DISCIPLINARY PROCEEDING No. 2010024050501 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 5, 2013 INTRODUCTION Disciplinary Proceeding No. 2010024050501 was filed on May 1, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Tallant submitted an

    05/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Glenn Tallant [CRD No. 1726582], Respondent. DISCIPLINARY PROCEEDING NO. 2010024050501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January or February 2009 through March 2010, Respondent James Glenn Tallant exercised discretionary trading authority without written authorization in four securities

    Reference 2010024050501data-portal.finra.orgfinra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.