CYNTHIA KAY PARROTT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/29/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064690301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia Kay Parrott Cooney, Respondent Former Associated Person CRD No. 2059467 In accordance with FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cynthia Kay Parrott Cooney submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064690301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2059467

Other names1

Also known as1

Cynthia Kay Parrott Cooney

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