James W. Flower

06/12/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040644001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Flower, Respondent General Securities Representative (CRD No. 2817701) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Flower ("Flower" or the "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2014040644001finra.orgdata-portal.finra.org

04/10/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES W. FLOWER (CRD No. 2817701), Respondent. DISCIPLINARY PROCEEDING No. 2017052701101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 1, 2016 and July 31, 2018 (the "Relevant Period"), Respondent

05/27/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES W. FLOWER (CRD No. 2817701), Respondent. Disciplinary Proceeding No. 2017052701101 Hearing Officer—LOM EXTENDED HEARING PANEL DECISION May 27, 2021 Respondent, James W. Flower, excessively traded in five customer accounts in violation of FINRA rules regarding quantitative unsuitability. Respondent’s misconduct rose to the level of churning because he traded for his own benefit, in reckless

Reference 2017052701101data-portal.finra.orgfinra.orgdata-portal.finra.org