JAMES R HART

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/28/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009917601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James R. Hart, Respondent General Securities Representative CRD No. 4021177 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition
Reference 2007009917601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4021177

Other names1

Also known as1

JAMES R. HART

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