IRENE PADRICK ENGARD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/14/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064765701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Irene P. Engard, Respondent Investment Company and Variable Contracts Products Representative Investment Company and Variable Contracts Products Principal CRD No. 2300387 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Irene P. Engard submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064765701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2300387 |
Other names1
Also known as1
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