Michael Scott Farris
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/25/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068393101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Scott Farris (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6478510 Pursuant to FINRA Rule 9216, Respondent Michael Scott Farris submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020068393101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6478510 |
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