LAWRENCE MAXWELL MCCOY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2008013278101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lawrence McCoy Limited Registered Representative CRD No. 1194902 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lawrence McCoy, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2008013278101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1194902

Other names1

Also known as1

LAWRENCE MCCOY

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