Louis Cook
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057690301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Louis Cook, Respondent Investment Company Products/Variable Contracts Representative CRD No. 2469412 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Louis Cook (“Respondent” or “Cook”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018057690301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2469412 |
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