BOBBY GLENN JAMES

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/23/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001463701 TO: Department of Enforcement NASD RE: Bobby Glenn James General Securities Representative CRD No. 1311728 Pursuant to Rule 9216 of NASD Code of Procedure, Bobby Glenn James, ("Respondent") submits 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
Reference 2005001463701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007663902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bobby Glenn James Former General Securities Representative CRD No. 1311728 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Bobby Glenn James, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2007007663902data-portal.finra.org finra.org

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