GLENN A. MOFFITT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041600301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Glenn A. Moffitt, Respondent General Securities Representative CRD No. 4767024 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent Glenn Allen Moffitt, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2014041600301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4767024

Other names1

Also known as1

GLENN ALLEN MOFFITT

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