Jean Connell Hicks
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/14/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063562901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jean Connell Hicks, Respondent Investment Company and Variable Contracts Products Representative CRD No. 1005922 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Jean Connell Hicks (Hicks or Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063562901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1005922 |
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.