JOHN MARCUS NEWKIRK JR.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JOHN MARCUS NEWKIRK, (CRD 2708577) RESPONDENT. DISCIPLINARY PROCEEDING No.20080151950 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about June 2007 through October 2008, Respondent converted in excess of $4,550 from two Firm customers in violation of NASD Rules 2330(a) and
Reference 2008015195001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN MARCUS NEWKIRK, JR. (CRD No. 2708577), Disciplinary Proceeding No. 2008015195001 Hearing Officer - SNB DEFAULT DECISION June 22, 2010 Respondent. Respondent converted customer funds, in violation of NASD Conduct Rules 2330(a) and 2116, presented a false account document to a customer, in violation of NASD Conduct Rule
Reference 2008015195001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2708577 |
Other names2
Also known as2
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.