TRACI A. THOMASON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002244502 TO; Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Traci A. Thomason Respondent CRD No: 4433725 Pursuant to FINRA Rule 9216 of FINRA's 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 below. This AWC is submitted on the condition that, if accepted, FINRA will
Reference 2005002244302data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4433725

Other names1

Also known as1

TRACI ANN THOMASON

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