JAMES R. DAY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/25/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005543701 TO: Department of Enforcement NASD RE: James R. Day, Respondent Investment Company and Variable Contracts Products Representative and General Securities Representative [CRD No. 1850322] Pursuant to Rule 9216 of NASD Code of Procedure, James R. Day 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
Reference 2006005543701data-portal.finra.orgfinra.org
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.