CHARLES RODNEY GEORGE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009521501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Rodney George, Respondent General Securities Representative CRD No. 1024791 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Charles Rodney George, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation described below. This AWC is
Reference 2007009521501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1024791 |
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