Annetta Marie Box

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075235601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Annetta Marie Box (Respondent) Former General Securities Principal, Former General Securities Representative and Former Municipal Securities Representative CRD No. 6475567 Pursuant to FINRA Rule 9216, Respondent Annetta Marie Box submits 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 accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2022075235601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6475567

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