THOMAS R. FEMISTER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A050019 TO: Department of Enforcement NASD RE: Thomas R. Femister, Respondent General Securities Representative CRD No. 2783803 Pursuant to Rule 9216 of the NASD Code of Procedure, Thomas R. Femister ("Femister") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any
Reference C9A050019data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2783803

Other names1

Also known as1

THOMAS RAY FEMISTER

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