JEANNE M CASPERSEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070095220 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeanne M. Caspersen CRD # 1822044 Pursuant to NASD Rule 9216 under the FINRA Code of Procedure, Jeanne M Caspersen ("Caspersen") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2007009396501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1822044

Other names1

Also known as1

JEANNE M. CASPERSEN

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