NEIL R. HARRISON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015617301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Neil R. Harrison, Respondent CRD No. 2254526 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Neil R. Harrison, 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 submitted on the condition that, if
Reference 2008015617301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2254526

Other names1

Also known as1

NEIL ROLLA HARRISON

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