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JAMES F. TARMIN

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

    03/04/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A050009 TO: Department of Enforcement NASD RE: James F. Tarmin, Respondent Investment Company and Variable Contracts Representative CRD No. 2033952 Pursuant to Rule 9216 of the NASD Code of Procedure, James F. Tarmin ("Tarmin") submits 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

    Reference C9A050009finra.orgdata-portal.finra.org

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