ERIC S. DARTY

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Effective
8 Feb 2018
US Federal Reserve Enforcement Actions
Federal Reserve BoardUS Federal Reserve Enforcement ActionsUnited States
Prohibition from Banking
Programme US-FED-ENFfederalreserve.gov federalreserve.gov
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051930401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric S. Darty ("Respondent" or "Darty") General Securities Representative CRD No. 6314905 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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
Reference 2016051930401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6314905

Supporting documents1

Federal Reserve Board issues enforcement action with Eric Scott Darty and termination of enforcement action with Cornerstone Bancshares, Inc.
2018-02-13
https://www.federalreserve.gov/newsevents/pressreleases/enforcement20180213a.htm

Other names1

Also known as1

Eric Scott Darty

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