Bryant Edwin Caveness
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/22/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066315201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryant Edwin Caveness, Respondent General Securities Representative CRD No. 4033740 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bryant Edwin Caveness (Caveness or Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020066315201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4033740 |
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