SHANNON MARIE ROWLAND
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETIER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042783901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Shannon Marie Rowland, Respondent Investment Company Products/Variable Contracts Limited Representative CRD No. 4526235 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Shannon Marie Rowland (?Rowland"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2014042783901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4526235 |
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