Jamie Bennett

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/05/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061763302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jamie Bennett (Respondent) Former General Securities Principal CRD No. 2740248 Pursuant to FINRA Rule 9216, Respondent Jamie Bennett submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC
Reference 2019061763302data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047201702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jamie Bennett, Respondent, General Securities Principal CRD No. 2740248 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2015047201702data-portal.finra.org finra.org

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