J.P TURNER AND COMPANY LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/09/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072003011201 TO: Department of Enforcement NASD RE: J.P. Turner & Company L.L.C. CRD No. 43177 S. Cheryl Bauman CRD No. 2207311 Pursuant to Rule 9216 of NASD Code of Procedure, the above-identified respondents (collectively, "Respondents") 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.
Reference E072003011201data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/27/2015: FINANC1AL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036404301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.P. Turner & Company, LLC, Respondent Member Firm CRD No.43177 Pursuant to FlNRA Rule 9216 of FINRA's Code of Procedure, J.P. Turner & Company, LLC (hereinafter, "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2013036404301data-portal.finra.orgfinra.org
Other names1
Also known as1
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