HUDSON ETIENNE SR.

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015957201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hudson Etienne Sr., Respondent Investment Company and Variable Contracts Products Representative CRD No. 1934483 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2008015957201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1934483

Other names1

Also known as1

HUDSON ETIENNE, SR

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