Nex Systems
Type not stated

James I. Black and Company

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

    05/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006007424601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James I. Black & Company, Respondent Member [CRD No. 1249] Jess G. Tucker, Respondent General Securities Principal [CRD No. 450126] Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, James I. Black & Company ("JIB" or "the firm") and Jess G. Tucker ("Tucker") submit this Letter of Acceptance, Waiver and

    Reference 2006007424601data-portal.finra.orgfinra.org

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