BARBARA JEAN WATERS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/25/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047719501 TO: Department of Enforcement Financial Regulatory Authority ("FINRA") RE: Barbara J. Waters, Respondent General Securities Representative CRD No. 2162078
Reference 2015047719501finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2162078

Other names1

Also known as1

Barbara J. Waters

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