JAMES PATRICK CROSS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES PATRICK CROSS (CRD No. 1946579), Respondent. Disciplinary Proceeding No. 2010025127301 Hearing Officer-RSH DEFAULT DECISION June 2, 2011 For failing to respond to requests for information and documents, in violation of Rules 8210 and 2010, the Respondent was barred from associating with any FINRA-regulated firm in any capacity. Appearances Sean W. Firley, Senior Regional Counsel, and David B.
Reference 2010025127301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1946579 |
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