PAUL E SMYTH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049950001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Paul E. Smyth, Respondent Investment Company Products Variable Contracts Representative Uniform Securities State Law Agent CRD No. 4881052 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Paul E. Smyth, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2016049950001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4881052

Other names1

Also known as1

PAUL E. SMYTH

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