Alexis Cooke
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/13/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059175201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexis Cooke (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5598604 Pursuant to FINRA Rule 9216, Respondent Alexis Cooke submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018059175201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5598604 |
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