CHARLES R. JEFFRIES III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060058564 TO: Deportment of Enforcement NASD RE: Charles R. Jeffries, III, Respondent Associated Person CRD No. 515515 Pursuant to Rule 9216 of NASD Code of Procedure, I, Charles R. Jeffries, III, 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
Reference 2006005856401data-portal.finra.orgfinra.org
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