MARC A. BROOKS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/07/2008: FINRA LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070093883 TO: Department of Enforcement FINRA RE: Marc A. Brooks Registered Representative CRD No. 5225762 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Marc A. Brooks ("Brooks") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against me
Reference 2007009388301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5225762 |
Other names1
Also known as1
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