ERNIE PRESTON SIMMONS III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002314501 DISTRICT 9 NEW JERSEY TO: Department of Enforcement DISTRICT NASD RE: Ernie Preston Simmons III, Respondent 4728166 Pursuant to Rule 9216 of NASD Code of Procedure, Ernie Preston Simmons III ("Simmons") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any
Reference 2005002314501finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4728166 |
Other names1
Also known as1
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