James Larkin Powers

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES LARKIN POWERS (CRD No. 2450818), Respondent. Disciplinary Proceeding No. 2014041985401 Hearing Officer–MC EXTENDED HEARING PANEL DECISION November 8, 2017
11/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Larkin Powers (CRD No. 2450818), DISCIPLINARY PROCEEDING No. 2014041985401 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 1, 2014 and July 25, 2014 (the Relevant Period), while employed at du Pasquier & Co. (the Firm) as an equity trader, Respondent James Larkin Powers used his control over Firm trading accounts to (1) create fictitious trades between
Reference 2014041985401data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2450818

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