Roger Allan Duval
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/18/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062789901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roger Allan Duval, Respondent General Securities Representative CRD No. 2503718 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Roger Allan Duval submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019062789901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2503718 |
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