STACIE ANNE HOPKINS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050005515-02 TO: Market Regulation Department NASD RE: Stacie Anne Hopkins (CRD 1288359) Registered Representative Pursuant to Rule 9216 of NASD Code of Procedure, Stacie Anne Hopkins ("Respondent") submits 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 bring any future actions
Reference 2005000551502data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1288359 |
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