Roger Oakley Waite
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/31/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064510501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roger Oakley Waite (Respondent) Former General Securities Representative CRD No. 2848213 Pursuant to FINRA Rule 9216, Respondent Roger Oakley Waite 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 on
Reference 2019064510501finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2848213 |
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