JAMES KENNETH COUTURE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/21/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020067011901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Couture, Respondent Former Registered Representative CRD No. 4406284 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Couture submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020067011901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4406284

Other names1

Also known as1

James Couture

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