JAMES ARTHUR AVERY JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032279701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Arthur Avery Jr., Respondent General Securities Representative, Investment Company and Variable Contracts Products Representative and Direct Participation Programs Representative CRD No. 1101660 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the
Reference 2012032279701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1101660 |
Other names1
Also known as1
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