JAMES FRANCIS REID
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. JAMES FRANCIS REID (CRD No. 2197427), Respondent. DISCIPLINARY PROCEEDING No. 2013037842501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2, 2013, and May 21, 2013, James Francis Reid ("Reid") converted more than $21,000 of insurance customer funds intended for property and casualty insurance premiums. Reid thereby violated FINRA Rule 2010.
12/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES FRANCIS REID (CRD No. 2197427), Respondent. Disciplinary Proceeding No. 2013037842501 Hearing Officer-RLP DEFAULT DECISION December 1, 2014 Respondent is barred from associating with any FINRA member in any capacity for conversion, in violation of FINRA Rule 2010, and for failing to respond to requests for testimony, in violation of FINRA Rules 8210 and 2010. Appearances Lane
Reference 2013037842501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2197427 |
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