SCOTT D. BARKER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041073701 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Scott D. Barker, Respondent CRD No. 4754577 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2014041073701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4754577

Other names1

Also known as1

SCOTT DEE BARKER

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