JOHN A. ELAM JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/08/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN A. ELAM, JR. (CRD No. 1334930), Respondent. Disciplinary Proceeding No. 2005002600501 Hearing Officer - SNB DEFAULT DECISION September 8, 2006 For Respondent's failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member in any capacity. In light of this bar, no further sanctions are imposed for Respondent's willful failure to amend his Form U-4, in
Reference 2005002600501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1334930 |
Other names1
Also known as1
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.