JAMES HAROLD OPHEIM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090188202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Harold Opheim General Securities Representative (CRD No. 1698507) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Harold Opheim ("Opheim"), submit this letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2009018820201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1698507

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.