THOMAS JAMES STEWART
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/17/2017: FINANCIAL INDUSTRY REGULATORY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048768101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas James Stewart, Respondent Former Registered Representative CRD No. 5425478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2016048768101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5425478 |
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