JOHN B. PARTAIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN B. PARTAIN CRD No. 4610449, Respondent. Disciplinary Proceeding No.2005000961201 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: 1. On or about April 25, 2003, John B. Partain ("Partain") became registered with NASD as an Investment Company and Variable Contracts Products Representative. Partain. was associated with Wachovia Securities LLC
04/03/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN B. PARTA1N (CRD No. 4610449), Respondent. Disciplinary Proceeding No. 2005000961201 Hearing Officer-SNB Default Decision April 3, 2006 For conversion of customer funds, in violation of Rule 2110, and for failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member in any capacity.
Reference 2005000961201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4610449 |
Other names1
Also known as1
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