CHRISTOPHER RICHARD BARONE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050912001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher R. Barone, Respondent Former Registered Representative CRD No. 2032268 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Christopher R. Barone submits 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
Reference 2016050912001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2032268

Other names1

Also known as1

Christopher R. Barone

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