SHELLIE L. NEWTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008014143701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sheliie L. Newton (CRD #2630770) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sheliie Lin Newton ("Newton") submits this Letter of Acceptance, Waiver and Consent ("AWC") purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,
Reference 2008014143701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2630770

Other names1

Also known as1

SHELLIE LIN NEWTON

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