JAMES W. GEIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008014980201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA) RE: James W. Geis, Respondent Direct Participation Programs Representative and Investment Company Products/Variable Contracts Representative CRD No. 1205939 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James W. Geis, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2008014980201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1205939 |
Other names1
Also known as1
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