J.P. TURNER & CO. LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140401718-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: J.P. Turner & Co., LLC Respondent Broker-Dealer CRD No. 43177 Pursuant to FlNRA Rule 9216 of FINRA's Code of Procedure, J.P. Turner & Co., LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2014040171801finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007138003 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.P. Turner & Co., LLC, Respondent CRD No. 43177 S. Cheryl Bauman, Respondent Registered Principal CRD No. 2207311 Robert S. Meyer, Respondent Registered Principal CRD No. 3074785 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, the above-named Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for
Reference 2007007138003data-portal.finra.orgfinra.org
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