OREN EUGENE SULLIVAN JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/21/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080154612 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oren Eugene Sullivan, Jr., Respondent General Securities Representative CRD No, 1072551 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oren Eugene Sullivan, Jr. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2008015461201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1072551 |
Other names1
Also known as1
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