David Shane Simmons
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/15/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072670901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Shane Simmons (Respondent) Former Registered Representative CRD No. 4655479 Pursuant to FINRA Rule 9216, Respondent David Shane Simmons submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021072670901finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4655479 |
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