RENEE MARIE BROWN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100220640 To: Department of Enforcement FINRA Re: Renee Marie Brown General Securities Representative CRD No. 3221618 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, I, Renee Marie Brown, 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 that, if accepted, FINRA
Reference 2010022064001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3221618 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.