JONATHAN G. SORENSEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/24/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036459501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jonathan G. Sorensen, Respondent Former General Securities Representative CRD No. 5031354 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jonathan G. Sorensen, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2013036459501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5031354

Other names1

Also known as1

JONATHAN GORDON SORENSEN

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.