TERRY L. HAGGERTY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/10/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120315955-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Terry L. Haggerty, Respondent Associated Person CRD No. 728634 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I (the "Respondent") 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
Reference 2012031595501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	728634

Other names1

Also known as1

TERRY LEE HAGGERTY

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.