JAMES C. GARDNER II
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES C GARDNER, II (CRD No. 5468556), Respondent. Disciplinary Proceeding No. 2008012392101 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 15, 2009 The Respondent violated Conduct Rule 2110 and Procedural Rule 8210 by failing to respond to requests for information, and violated Conduct Rule 2110 by failing to report multiple felony charges and related guilty pleas on his Form U4. For these
Reference 2008012392101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5468556 |
Other names1
Also known as1
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