JAMES R. FRITH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2004025901 TO: Department of Enforcement NASD RE: James R. Frith, Respondent General Securities Representative CRD No. 4394217Pursuant 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 bring any future actions against me alleging
Reference E3A2004025901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4394217 |
Other names1
Also known as1
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