Eric John Vici
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/14/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069176201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric John Vici (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 6114866 Pursuant to FINRA Rule 9216, Respondent Eric John Vici submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021069176201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6114866 |
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