JOAN L. ELAM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/24/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009097601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joan L. Elam. Respondent General Securities Representative and General Securities Sales Supervisor CRD No. 2102330 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Joan L. Elam, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2007009097601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2102330

Other names1

Also known as1

JOAN LYNEA ELAM

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