HAROLD L. DEPRILL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/27/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110296795-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Harold L. DePrill, Respondent Broker-Dealer CRD No. 1302318 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Harold L. DePrill ("DePrill," "Respondent" or "I") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2011029679502finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1302318

Other names1

Also known as1

HAROLD LAVERN DEPRILL, JR

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.