VANCE A PHILPOTTS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012215701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE; Vance Philpotts, Respondent CRD No. 3097612 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent Vance Philpotts submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation described
Reference 2008012215701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3097612

Other names1

Also known as1

VANCE PHILPOTTS

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