BARKLEY J. LUNDY JR.

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041887201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barkley J. Lundy Jr., Respondent CRD No. 2260127 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Barkley J. Lundy Jr., submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition
Reference 2014041887201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2260127

Other names1

Also known as1

BARKLEY JW LUNDY, JR

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