JAMES CURRIER

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/20/2008: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. NO. E8A2005012902 TO: Department of Enforcement NASD RE: Leonard and Company Member CRD No. 36527 James Currier General Securities Principal CRD No. 2070654 Pursuant to Rule 9216 of the National Association of Securities Dealers, Inc., ("NASD") Code of Procedure, Leonard & Company ("Member") and James Currier (collectively referred to as Respondents) submit this Letter of Acceptance, Waiver
Reference E8A2005012902data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2003049501 TO: Department of Enforcement NASD RE: Leonard and Company (CRD No. 36527) and James Currier Financial Operations Principal and Chief Operating Officer (CRD No. 2070654) Pursuant to Rule 9216 of NASD Code of Procedure, Leonard and Company and James Currier, ("Respondents") 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
Reference E8A2003049501data-portal.finra.org finra.org

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