LOUISE J NEALE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047176001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Louise J. Neale, Respondent CRD No. 4693750 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Louise J. Neale ("Neale" or "Respondent") submit 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 2015047176001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4693750

Other names1

Also known as1

LOUISE J. NEALE

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