Jonathan Craig Rich
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/22/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061652403 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jonathan Craig Rich (Respondent) Former General Securities Principal and Investment Banking Principal CRD No. 2271478 Pursuant to FINRA Rule 9216, Respondent Jonathan Craig Rich submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019061652403finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2271478 |
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