FREDRICKA D WATSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/07/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FREDRICKA D. WATSON (CRD No. 849531), Respondent. Disciplinary Proceeding No. 20060052704 Hearing Officer - AWH DEFAULT DECISION November 7, 2007 Formerly registered representative cheated on a continuing education examination, in violation of NASD Conduct Rule 2110, and failed to respond to Staff requests for information, in violation of NASD Procedural Rule 8210 and Conduct Rule 2110. Respondent
Reference 2006005270401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	849531

Other names1

Also known as1

FREDRICKA D. WATSON

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