JAMES M. WESSEL
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110262946 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James M. Wessel CRD #3273979 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James M. Wessel ("Wessel" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2011026294601data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/16/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2003097801 TO: Department of Enforcement NASD RE: James M. Wessel, Respondent Limited Registered Principal (CRD No. 3273979) Pursuant to Rule 9216 of NASD Code of Procedure, I, James M. Wessel, 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 submitted on the condition that, if accepted, NASD will not bring any future actions
Reference E8A2003097801finra.orgdata-portal.finra.org
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