DENNIS RAY THOMPSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050013986-04 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Dennis Ray Thompson Sr., Respondent Registered Representative CRD No. 2785279 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dennis Ray Thompson Sr. ("Thompson Sr." or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2005001398604data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2785279

Other names1

Also known as1

DENNIS RAY THOMPSON SR.

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