BURGESS NATHANIEL HALLUMS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/03/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2012033718901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Burgess Nathaniel Hallums, Respondent General Securities Representative CRD No. 1619983 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC" ) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2012033718901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1619983 |
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