RANDALL J. FERRIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031772601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Randall J. Ferris, Respondent General Securities Representative CRD No. 5242235 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
Reference 2012031772601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5242235

Other names1

Also known as1

RANDALL JAMES FERRIS

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