RONALD W. JININGS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/07/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RONALD W. JININGS (CRD No. 1852470), Respondent. Disciplinary Proceeding No. 2006003877901 Hearing Officer-Andrew H. Perkins DEFAULT DECISION August 7, 2007 Respondent is barred from associating with any member firm in any capacity for: (1) violating NASD Conduct Rules 2370 and 2110 by borrowing customer funds in violation of his employer's written policies and procedures; and (2) for failure to
Reference 2006003877901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1852470 |
Other names1
Also known as1
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.