LOUIS P. POWELL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/08/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020132001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Louis P. Powell, Respondent General Securities Representative CRD No. 2373133 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Louis P. Powell, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the all
Reference 2009020132001finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2373133 |
Other names1
Also known as1
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