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JAMES C. TIMMONS

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/10/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060049237 TO: Department of Enforcement NASD RE: James C. Timmons. Investment Company Products/Variable Contact Representative CRD No. 4949617 Pursuant to Rule 9216 of NASD Code of Procedure, I, James C. Timmons ("Timmons") 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.

    Reference 2006004923701finra.orgdata-portal.finra.org

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