Matthew Thomas Jennings

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/19/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063586701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew Thomas Jennings, (Respondent) Former General Securities Representative CRD No. 6762685 Pursuant to FINRA Rule 9216, Respondent Matthew Thomas Jennings submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063586701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6762685

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