FRANCIS MELVIN JOHNSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2013035617201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Francis Melvin Johnson, Respondent Registered Representative CRD No. 1607751 Pursuant FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Francis Melvin 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
Reference 2013035617201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1607751 |
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