COKER & PALMER
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/05/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003761701 TO: Department of Enforcement NASD RE: Coker & Palmer, Respondent [CRD No. 29163] Pursuant to Rule 9216 of NASD Code of Procedure, Respondent, Coker & Palmer, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition
Reference 2006003761701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035330101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Coker & Palmer, Inc., Respondent CRD No. 29163 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Coker & Palmer, Inc. ("hereinafter, "CPI" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2013035330101data-portal.finra.orgfinra.org
Other names1
Also known as1
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