RAYMOND LOUIS THOMAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044274501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond Louis Thomas, Respondent Investment Company and Variable Contracts Representative CRD No. 6206369 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC') for tlie purpose of proposing a settlement of the alleged rule violations described below.
Reference 2015044274501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6206369 |
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