JOHN MICHAEL BANNON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037771802 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Michael Bannon, Respondent General Securities Representative CRD No. 1062813 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent John Michael Bannon, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2013037771802data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1062813 |
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