JOHN C. MCFARLAND

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007138002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John C. McFarland, Respondent Registered Representative and Registered Principal CRD No. 2313648 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondeat John C. McFarland submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2007007138002data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2313648

Other names1

Also known as1

JOHN CHRISTOPHER MCFARLAND

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