LORI A HERMANSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047979601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lori A. Hermanson, Respondent Former Registered Representative CRD No. 5831465 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2015047979601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5831465

Other names1

Also known as1

LORI A. HERMANSON

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