AMALIA L. HELTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011017001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Amalia L. Helton, Respondent Limited Registered Representative (CRD No. 4633432) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Amalia L. Helton submit 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
Reference 2007011017001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4633432

Other names1

Also known as1

AMALIA LILLIAN HELTON

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.