TRACE R. O'NEAL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090210376 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA”) RE: Trace R. O'Neal, Respondent Central Registration Depository ("CRD") No. 5529602 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Trace R. O'Neal ("O'Neal"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2009021037601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5529602

Other names1

Also known as1

TRACE RANDALL O'NEAL

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