DAVID LLOYD BARBER

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052696401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: David L. Barber CRD No. 1165082 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David L. Barber ("Respondent") submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing
Reference 2017052696401finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110291629 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Lloyd Barber, Respondent General Securities Representative CRD No. 1165082 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, David Lloyd Barber ("Barber") 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
Reference 2011029162901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1165082

Other names1

Also known as1

David L. Barber

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