JOHN ALLEN BROWN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045466201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Allen Brown, Respondent General Securities Representative CRD No. 1240558 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Allen Brown ("Brown or Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference 2015045466201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1240558 |
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