PATRICK PIERRE LOUIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/02/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067945101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Pierre-Louis (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 5465279 Pursuant to FINRA Rule 9216, Respondent Patrick Pierre-Louis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations
Reference 2020067945101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5465279 |
Other names1
Also known as1
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