JAMES A. BLUE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007722301 To: Department of Enforcement Financial Industry Regulatory Authority Re: James A. Blue Investment Company and Variable Contracts Products Representative CRD NO. 151176 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, I, James A. Blue (Blue), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a
Reference 2007007722801finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1511776

Other names1

Also known as1

JAMES ALBERT BLUE

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