SHANNON LYNN PARKOFF- MOSKOFF
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050531801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Shannon Lynn Moskoff, Respondent Registered Representative CRD No. 5750649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Shannon Lynn Moskoff submits 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
Reference 2016050531801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5750649 |
Other names1
Also known as1
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