BRENDA LOIS HOBSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/28/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094640 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brenda Lois Hobson, Respondent Branch Office Administrator CRD No. 4115641 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Brenda Lois Hobson, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation described below. This AWC is submitted on
Reference 2007009464001finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4115641 |
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