JACQUELINE DENISE HARRIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/13/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005888601 TO: Department of Enforcement NASD RE: Jacqueline Denise Harris, Respondent. CRD No. 3139400 Pursuant to Rule 9216 of NASD Code of Procedure, I submit 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 actions against me alleging violations based on the
Reference 2006005888601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3139400 |
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