SUZETTE FRANCIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/16/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. #20050017770-02 TO: Department of Enforcement NASD RE: Suzette Francis ("Francis") (CRD No. 4305137) Pursuant to Rule 9216 of NASD Code of Procedure, Suzette Francis ("Francis") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against Francis
Reference 2005001777002data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4305137

Other names1

Also known as1

SUZETTE MARINE FRANCIS

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