RONALD WALTER HANNES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/13/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064915301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald W. Hannes, Respondent Investment Company and Variable Contracts Products Representative CRD No. 1462241 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ronald W. Hannes submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064915301finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1462241

Other names1

Also known as1

Ronald W. Hannes

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