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Industry Professionals > Enforcement > Adjudication > Office of Hearing Officers Decisions & Proceedings > OHO Disciplinary Decisions > 2000

Enforcement

Sanction Guidelines
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Hearing Panel Decision in Department of Enforcement v. Jim Newcomb

Decision Number C3A990050*

January 13, 2000

(PDF 40 KB)

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©2012 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.