Nex Systems
Type not stated

John Timothy Rice

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

    06/23/2025: From February 2018 through November 2023, Rice shared material non-public information concerning imminent customer block order transactions with two firm customers. After sharing the information, Rice executed orders on behalf of those customers in the same security prior to completion of the block order transactions. As a result, Rice violated FINRA Rules 5270 and 2010, and he is suspended for eighteen months in all capacities, fined $10,000, and ordered to disgorge $127,549 plus interest.

    Reference 2024081782501finra.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.