Sanford Graham Simmons
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/17/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071851101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sanford Graham Simmons (Respondent) Former General Securities Representative CRD No. 1018907 Pursuant to FINRA Rule 9216, Respondent Sanford Graham Simmons submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021071851101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1018907 |
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