Joanna L Morgan

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/06/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077766801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joanna L. Morgan (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7252494 Pursuant to FINRA Rule 9216, Respondent Joanna L. Morgan 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 submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2023077766801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	7252494

Other names1

Also known as1

Joanna L. Morgan

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