JAMES MICHAEL HAM

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAVER AND CONSENT NO. 2013039556701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James M. Ham, Respondent General Securities Representative and Investment Banking Representative (CRD No. 1865836) pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, James M. Ham ("Ham"), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement
Reference 2013039556701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045425201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Michael Ham, Respondent CRD No. 1865836 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 2015045425201finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1865836

Other names1

Also known as1

James M. Ham

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