Christopher John Pierce
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049391101 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Christopher John Pierce, Respondent General Securities Representative CRD No. 5143454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Christopher John Pierce (''Pierce") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation
05/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049391101 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Christopher John Pierce, Respondent General Securities Representative CRD No. 5143454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Christoplier John Pierce (''Pierce") submit this Letter ofAcceptance, Waiver and Consent ('?AWC") for the purpose of proposing a settlement of the alleged rule violation
Reference 2016049391101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5143454 |
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