ADAM C. SMITH
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048922301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Adam C. Smith, Respondent Registered Representative CRD No. 4542903 Pursuant to FINRA Rule 9216 of FINRA's 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 below. This AWC is submitted on the condition that, if
Reference 2013048922301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY REVISED LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048922301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Adam C. Smith, Respondent Registered Representative CRD No. 4542903 Pursuant to FINRA Rule 9216 of FINRA's 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 below. This AWC is submitted on the condition
Reference 2016048922301finra.orgdata-portal.finra.org
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