Thomas Patrick Barton III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/10/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071289801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Patrick Barton III (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6908590 Pursuant to FINRA Rule 9216, Respondent Thomas Patrick Barton III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
Reference 2021071289801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6908590 |
Other names1
Also known as1
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