Charles Jonathan Evan
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/22/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064596401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Jonathan Evan, Respondent Former Registered Representative CRD No. 836083 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Charles Jonathan Evan 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
Reference 2019064596401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 836083 |
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