RAYMOND J. MORRISON JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/17/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004040001 TO: Department of Enforcement NASD RE: Raymond J. Morrison, Jr., Respondent CRD No. 2490927 Pursuant to Rule 9216 of NASD Code of Procedure, Raymond J. Morrison, Jr. ("Morrison") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against
Reference E9B2004040001finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2490927 |
Other names1
Also known as1
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.