RONALD DWAYNE JAMES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/10/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RONALD DWAYNE JAMES (CRD No. 2608516), Respondent. Disciplinary Proceeding No. 2007009181901 Hearing Officer - MC DEFAULT DECISION June 10,2009 The Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for information issued by FINRA staff, in violation of Conduct Rule 2110 and Procedural Rule 8210. In light of the bar, no separate
Reference 2007009181901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2608516 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.