Robert Wayne Mooney
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/18/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070733401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Wayne Mooney (Respondent) Former Investment Company Products Variable Contracts Representative CRD No. 5230596 Pursuant to FINRA Rule 9216, Respondent Robert Wayne Mooney ("Mooney") 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, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021070733401finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5230596 |
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