THOMAS JAMES CARR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/07/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THOMAS JAMES CARR (CRD No. 1613787) Respondent. Disciplinary Proceeding No. C01040029 Hearing Officer - AWH Hearing Panel Decision September 7, 2005 Registered representative made unsuitable recommendations in a customer's account, in violation of Conduct Rules 2320 and 2110; effected unauthorized trades in that customer's account, in violation of Conduct Rule 2110; and failed to respond to requests for information in connection with
Reference C01040029data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1613787 |
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