Jess Gove Tucker III (CRD # 450126, Registered Principal, Lakeland, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $125,000, jointly and severally with Tucker, and required to have all of its personnel register for 16 hours of anti-money laundering (AML) training within 60 days of issuance of this AWC. Tucker was suspended from association with any FINRA member in any principal or supervisory capacity for three months. Tucker’s fine must be paid either immediately upon reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier. Without admitting or denying the findings, the firm and Tucker consented to the described sanctions and to the entry of findings that the firm, acting through Tucker, failed to adequately implement an AML compliance program, in that it failed to adequately detect, investigate and report potentially suspicious activity. The findings stated that the firm, acting through Tucker, failed to conduct sufficient independent tests of its AML program on an annual basis and conduct annual AML training for its personnel.(FINRA Case # 2006007424601)