DEBORAH LYNN HERRMANN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/30/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070377701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deborah Herrmann (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5204514 Pursuant to FINRA Rule 9216, Respondent Deborah Herrmann submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC
Reference 2021070377701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5204514

Other names1

Also known as1

Deborah Herrmann

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