SUMNER JAMES STARBIRD

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SUMNER JAMES STARBIRD (CRD No. 2857200), Respondent. Disciplinary Proceeding No. 2013038544601 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 14, 2015 Respondent is barred from associating with any FINRA registered firm in any capacity for reversing overdraft fees in his personal account without authorization in violation of FINRA Rule 2010. Appearances Lane A. Thurgood,
Reference 2013038544601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sumner J. Starbird (CRD No. 2857200), DISCIPLINARY PROCEEDING No. 2013038544601 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In September 2013 (the "relevant period"), Sumner J. Starbird ("Starbird") incurred $600 in overdraft fees in his personal account at Morgan Stanley Smith Barney (''Morgan Stanley" or the "Firm"). 2. On September 3 and 6, 2013, Starbird
Reference 2013038544601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2857200

Other names1

Also known as1

Sumner J. Starbird

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