SUSAN ELIZABETH GLOVER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035790701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Susan E. Glover, Respondent Non-Registered Fingerprint Individual CRD No. 5935416 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Susan E. Glover ("Glover" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2013035790701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5935416

Other names1

Also known as1

Susan E. Glover

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.