COBURN & MEREDITH INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/13/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C11050018 TO: Department of Enforcement NASD RE: Coburn & Meredith, Inc., Member BD No. 164 Barry M. Coburn, Registered Principal CRD No. 49264 Pursuant to Rule 9216 of NASD Code of Procedure, we 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
Reference C11050018data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041677001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Coburn & Meredith, Inc., Respondent CRD No. 164 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Coburn & Meredith, Inc. ("Coburn," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2014041677001data-portal.finra.org finra.org

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