RYAN WILLIAM ZUMBRUM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024464101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ryan William Zumbrum, Respondent Registered Representative CRD No. 5191105 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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 is submitted on the
Reference 2010024464101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5191105

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