JIM SIMBE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/10/2007: NASD RECEIVED LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2006005053901 TO: Department of Enforcement NASD RE: Jim Simbe CRD No. 2317085 Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not
Reference 2006005053901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2317085

Other names1

Also known as1

JIM ZABALA SIMBE

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