RONALD JAMES KNIGHT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/29/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056047701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ronald "Ramone" J. Knight, Respondent Former Registered Representative CRD No. 5265446 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ronald J. Knight submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017056047701finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5265446 |
Other names1
Also known as1
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