LORI E SIMPSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/18/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017046701 To: Department of Enforcement FINRA Re: Lori E. Simpson Associated Person CRD No. 5553607 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, I, Lori E. Simpson (Simpson), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring
Reference 2009017046701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5553607 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.