CARLA COOPER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023825201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carla Cooper., Respondent General Securities Representative CRD# 838334 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Carla W. Cooper ("Cooper" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2010023825201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	838334

Other names1

Also known as1

CARLA WENDY COOPER

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