Garrett Caplin
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/15/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070745701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Garrett Caplin (Respondent) Former General Securities Representative CRD No. 5968832 Pursuant to FINRA Rule 9216, Respondent Garrett Caplin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021070745701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5968832 |
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