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FINRA Disciplinary Actions Online

Displaying 1 - 2 of 2
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017053208002 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOS. 2017053208002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: National Securities Corporation, Respondent Member Firm CRD No. 7569 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent National Securities Corporation submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
National Securities Corporation
10/27/2020
2017053208001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053208001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James B. Eichner, Jr. CRD No. 3221851 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of AWCs (Letters of Acceptance, Waiver, and Consent)
James B. Eichner, Jr.
04/05/2019