JAMES D. GRIMES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James D. Grimes, CRD No. 4106942, Respondent. Disciplinary Proceeding No. 2011028219201 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 31, 2012 INTRODUCTION Disciplinary Proceeding No. 2011028219201 was filed on October 5, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent James D. Grimes submitted an
10/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James D. Grimes (CRD No. 4106942), Respondent. DISCIPLINARY PROCEEDING No. 2011028219201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between approximately January 2007 and February 2010, while associated with Financial Network Investment Corporation (FNIC), James D. Grimes transferred $306,000 from three customer accounts to an account owned by another customer, without the consent
Reference 2011028219201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4106942 |
Other names1
Also known as1
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