GERALD A. BROOKSHIRE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3B20040210-01 TO: Department of Enforcement NASD RE: Gerald A. Brookshire, Respondent Investment Company Products/Variable Contracts Representative and Investment Company Products/Variable Contracts Principal CRD No. 4708592 Pursuant to Rule 9216 of NASD Code of Procedure, I, Gerald A. Brookshire ("Brookshire"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in
Reference E3B2004021001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4709592

Other names1

Also known as1

GERALD ARTHUR BROOKSHIRE

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