Brian Maguire
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/20/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067348501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Maguire (Respondent) Former Research Analyst and General Securities Representative CRD No. 5011014 Pursuant to FINRA Rule 9216, Respondent Brian Maguire submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020067348501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5011014 |
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