TYLER HARRIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090209281 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Tyler Jack Harris, Respondent CRD No. 5377730 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tyler Jack Harris ("Harris" or "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 2009020928101finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5860060

Other names1

Also known as1

TYLER JACK HARRIS

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