STEPHANIE D. SAWYER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041561201 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Stephanie D. Sawyer, Respondent Non-Registered Fingerprint Individual [CRD No. 5092828] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stephanie D, Sawyer ("Sawyer") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2014041561201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5092828

Other names1

Also known as1

STEPHANIE DELAINE SAWYER

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