Tonia Berg

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/12/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069510901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tonia Berg (Respondent) Former Associated Person CRD No. 6695171 Pursuant to FINRA Rule 9216, Respondent Tonia Berg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021069510901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6695171

Other names1

Also known as1

Tonia Renee Berg

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