DONALD JAY CARRIG

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/07/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008239004 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donald J. Carrig, Respondent Registered Representative CRD No. 2669205 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
Reference 2007008239004data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024294501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donald Jay Carrig, Respondent General Securities Representative Limited Representative-Equity Trader CRD No. 2669205 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Donald Jay Carrig, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2010024294501finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2669205

Other names1

Also known as1

DONALD J. CARRIG

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.