JOSEPH A. SUGG II
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025102401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joseph A. Sugg, II General Securities Representative CRD No. 5061692 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Joseph A. Sugg, II 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 is
Reference 2010025102401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5061692 |
Other names1
Also known as1
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