JAMES THOMAS PATTEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2006: NASD OFFICE OF HEARING OFF1CERS DEPARTMENT OF MARKET REGULAT1ON, Complainant, v. GREATER METROPOLITAN INVESTMENT SERVICES, INC. (BD 17452), JAMES THOMAS PATTEN (CRD 1143818), AND CHINTAMAN M. DALVI (CRD 1981088), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2005000245601 HEARING OFFICER: HALL ORDER ACCEPTING OFFER OF SETTLEMENT FROM JAMES T. PATTEN AND GREATER METROPOLITAN INVESTMENT SERVICES, INC. The Department of Market Regulation ("Complainant") filed a Complaint in Disciplinary Proceeding No.
05/18/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. GREATER METROPOLIAN INVESTMENT SERVICES, INC. (BD 17452) 350 MAIN STREET SUITE 9 BEDMINSTER, NJ 07921, JAMES THOMAS PATTEN (CRD 1143818) AND Respondents. DISCIPLINARY PROCEEDING No. 2005000245601 HEARING OFFICER: COMPLAINT On information and belief, the Department of Market Regulation alleges as follows: Summary 1. Respondents
Reference 2005000245601data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1143818

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