HAROLD L. CONNELL

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/17/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005321601 TO: Department of Enforcement NASD RE: Harold L Connell, Respondent General Securities Principal CRD No. 1482623 Pursuant to Rule 9216 of the NASD Code of Procedure, Harold L. Connell ("Connell") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future
Reference 2006005321601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/12/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051493702 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Harold Lee Connell, Respondent CEO and President CP Capital Securities, Inc. General Securities Representative and General Securities Principal CRD No. 1482623 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Harold Lee Connell ("Connell" or "Respondent")
Reference 2016051493702data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1482623

Other names1

Also known as1

Harold Lee Connell

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