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JAMES THOMAS WHIPPLE

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

    10/31/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001370-01 TO: Department of Market Regulation NASD RE: C.E. Unterberg, Towbin, LLC, Respondent Broker-Dealer CRD No. 24790 James Thomas Whipple, Respondent Andrew Arno, Respondent CRD No. 1021807 Pursuant to Rule 9216 of NASD Code of Procedure, C.E. Unterberg, Towbin, LLC ("CEUT" of "firm") , James Thomas Whipple ("Whipple") and Andrew Arno ("Arno") (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

    Reference 2005000137001finra.orgdata-portal.finra.org

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