TERRY L. PICKERING

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/10/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030155301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Terry L. Pickering, Respondent CRD No. 2006931 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Terry L. Pickering ("Pickering") or ("Respondent") submits 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 2011030155301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2006931

Other names1

Also known as1

TERRY LEE PICKERING

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