MARC ROMEYN LIPPMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/17/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071514101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marc R. Lippman (Respondent) General Securities Representative CRD No. 1575995 Pursuant to FINRA Rule 9216, Respondent Marc R. Lippman 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,
Reference 2021071514101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1575995

Other names1

Also known as1

Marc R. Lippman

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