JAMES KENNETH ARD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES KENNETH ARD (CRD No. 5837571), Respondent. Disciplinary Proceeding No. 2012031746301 Hearing Officer - CC DEFAULT DECISION April 30, 2014 Respondent is barred from associating with any FINRA member firm in any capacity for misappropriating funds, in violation of FINRA Rule 2010. Appearances R. W. Sardegna, Esq., and Perry C. Hubbard, Esq., for the Department of Enforcement, Complainant
12/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. James Kenneth Ard (CRD No. 5837571), DISCIPLINARY PROCEEDING No. 2012031746301 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In or around May 2009, James Kenneth Ard "(Ard") became a candidate for Lieutenant Governor of South Carolina. He won election to the office on November 2, 2010. Beginning on August 20,2010, Ard was an associated person of J.J.B. Hilliard,
Reference 2012031746301data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5837571

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.