JUSTIN ALBERT CARROLL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/06/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006077901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Justin Carroll Registered Representative CRD No. 3180028 Pursuant to Rule 9216 of FINRA Code of Procedure, I, Justin Carroll, 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
Reference 2006006077901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3180028

Other names1

Also known as1

JUSTIN CARROLL

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