JAMES C. WISDOM III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018092701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James C. Wisdom III, Respondent Registered Representative CRD No. 5441607 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, James C. Wisdom III ("Respondent" or "Wisdom") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2009018092701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5441607 |
Other names1
Also known as1
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