DEBORAH A. COTTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2008012560601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deborah A. Cotton, Respondent General Securities Principal and General Securities Representative [CRD No. 1614217] Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Deborah A. Cotton submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2008012560601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1614217

Other names1

Also known as1

DEBORAH ANN COTTON

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.