ALBERT HARKLESS, III

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/20/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060290901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Albert Harkless, III, Respondent Investment Company and Variable Contracts Products Representative CRD No. 2782039 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Albert Harkless, III ("Harkless" 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.
Reference 2018060290901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2782039

Other names1

Also known as1

Albert Harkless III

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