RAYMOND LEE NORAGON

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/07/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050013986-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond Lee Noragon, Respondent Registered Representative CRD No. 4499699 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Raymond Lee Noragon ("Noragon" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2005001398601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/18/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RAYMOND LEE NORAGON, (CRD No. 4499699), Respondent. Disciplinary Proceeding No. 2007007321102 Hearing Officer: Matthew Campbell ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 18, 2009 INTRODUCTION Disciplinary Proceeding No. 2007007321102 was filed on November 21, 2008, by the Department of Enforcement (Complainant) of the Financial Industry Regulatory Authority (FINRA). Respondent Raymond Lee
Reference 2007007321102finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4499699

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