JAMES WARD NOBLE

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES WARD NOBLE (CRD No. 5574568), Respondent. Expedited Proceeding No. FPI140007 STAR No. 2013035203502 Hearing Officer - CC ORDER ACCEPTING OFFER OF SETTLEMENT OF JAMES WARD NOBLE Date: October 15, 2014 INTRODUCTION Expedited Proceeding No. FPI140007 was initiated on August 7, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2013035203502data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2012034333801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Terminus Securities, LLC, Respondent FINRA Member Firm BD No. 148031 David Eugene Corbin, Respondent Municipal Securities Principal CRD No. 2233177 James Ward Noble, Respondent Financial and Operations Professional CRD No. 5574568 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of
Reference 2012034333801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5574568

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