JIMMY POMA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/08/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006767601 TO: Department of Enforcement NASD RE: Jimmy Poma CRD No. 5088147 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part ll below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me
Reference 2006006767601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5088147 |
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