JAMES EDWARD BARRAM
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110283273 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James (Jeb) Edward Barram, Respondent CRD No. 4505735 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James (Jeb) Edward Barram ("Barram"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on
Reference 2011028327301data-portal.finra.orgfinra.org
Other names1
Also known as1
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