JOHN SHERMAN JUMPER

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/11/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. ALLUVION SECURITIES, LLC (CRD No. 143623) and and JOHN S. JUMPER (CRD No. 2809649) Respondent. Disciplinary Proceeding No. 2013035347704 Hearing Officer: MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 11, 2015 INTRODUCTION Disciplinary Proceeding No. 2013035347704 was filed on June 19, 2015, by the Department of Enforcement of
06/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ALLUVION SECURITIES, LLC (CRD No. 143623) and LOWELL S. WILSON (CRD No. 2322723) and JOHN S. JUMPER (CRD No. 2809649) RESPONDENTS. DISCIPLINARY PROCEEDING Nos. 2013035347704 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. On forty-three occasions during the period from September 5, 2012 through October 8, 2013, Alluvion SecuIities, LLC (''Alluvion" or the
Reference 2013035347704data-portal.finra.org data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052704401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John S. Jumper, Respondent General Securities Principal, General Securities Representative, Municipal Securities Principal, Operations Professional CRD No. 2809649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John S. Jumper ("Jumper") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference 2017052704401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030378403 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Sherman Jumper, Respondent Registered Principal CRD No. 2809649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Sherman Jumper, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2012030378403data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2809649

Other names1

Also known as1

JOHN S. JUMPER

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