DARRELL ANTHONY SMITH, JR

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/24/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065527102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Darrell A. Smith, Jr. (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6774881 Pursuant to FINRA Rule 9216, Respondent Darrell A. Smith, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020065527102finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	6774881

Other names1

Also known as1

Darrell A. Smith Jr.

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