JONATHAN CHARLES RANEY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/07/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001362401 TO: Department of Enforcement NASD RE: Jonathan Raney, Respondent Investment Company and Variable Contracts Products Principal CRD No. 1269317 Pursuant to Rule 9216 of NASD Code of Procedure, I, Jonathan Raney, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not
Reference 2005001362401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1269317

Other names1

Also known as1

JONATHAN RANEY

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.