JEFFREY A. WICKS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/12/2010: FINANCIAL INDUSTRY REGULATORY ATTTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090208356-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey A. Wicks, Respondent CRD No. 2732177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Jeffrey A. Wicks (the "Respondent") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2009020835601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2732177

Other names1

Also known as1

JEFFREY ARDEN WICKS

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