MICHAEL GRIFFITH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046129301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Roger Griffith, Respondent Investment Company Products/Variable Contracts Representative CRD No. 4957188 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michael Roger Griffith, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2015046129301finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4957188 |
Other names1
Also known as1
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