NOBLE BRADFORD TRENHAM

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/18/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NOBLE B. TRENHAM (CRD No. 449157) Respondent. Disciplinary Proceeding No. 2007007377801 HEARING PANEL DECISION Hearing Officer - SNB March 18, 2010 For structuring cash transactions to avoid federal reporting requirements in violation of Rule 2110, acting in a principal capacity while suspended in violation of Rule 2110, and willfully failing to update a Form U4 to disclose a customer complaint in
Reference 2007007377801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050026 TO: Department of Enforcement NASD RE: First Global Securities, Inc., Member Firm CRD No. 28612 Noble Bradford Trenham. General Securities Principal CRD No. 449157 Pursuant to Rule 9216 of NASD Code of Procedure, we submit 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
Reference C02050026data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	449157

Other names1

Also known as1

NOBLE B. TRENHAM

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.