ARTHA L. BROOKS

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/13/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015413103 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Artha L. Brooks, Respondent Former Registered Representative CRD No. 4528122 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Artha L. Brooks submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC
Reference 2008015413103data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Artha L. Brooks (CRD No.4528122), Respondent. DISCIPLINARY PROCEEDING NO. 2008015413102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Artha L. Brooks misused customer funds and failed to comply with FINRA's requests for information. As alleged with more particularity below, on May 19, 2006, Brooks accepted $5,000 in cash from a customer for a money market investment, but
Reference 2008015413102data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4528122

Other names1

Also known as1

ARTHA LEE BROOKS

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