JACK T. COLE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/29/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050028531-01 To: Department of Enforcement NASD Re: Jack T. Cole Investment Company/Variable Contract Products Representative (CRD No. 3006129 Pursuant to Rule 9216 of NASD Code of Procedure, I, Jack T. Cole, 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 bring any
Reference 2005002853101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3006129

Other names1

Also known as1

JACK THOMAS COLE

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