JOHN CHARLES GUYS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026482601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Charles Guys, Respondent CRD No. 2199744 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, John Charles Guys ("Guys" or "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 2011026482601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2199744 |
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