JAMES M HURSTY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/17/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053851501 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: James M. Hursty (''Hursty") Investment Company Products/Variable Contracts Representative CRD No. 5106938 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent, James M. Hursty submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2017053851501finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5106938 |
Other names1
Also known as1
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