JAMES R. HOLDMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/07/2009: FINANCIAL INDUSTRY REGULATOAUTHORITY ER AND CONSENT FINANCIAL INDUSTRY REGULATORY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008016403301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James R. Holdman, Respondent General Securities Principal, Registered Options Principal, and General Securities Representative [CRD No. 3122876] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure
Reference 2008016403301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3122876

Other names1

Also known as1

JAMES RILEY HOLDMAN

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.