CARRIE ANN LA FRINIERE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Carrie Ann La Friniere (CRD No. 5459339), Respondent. Disciplinary Proceeding No. 2011026817001 Hearing Officer Matthew Campbell ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 9, 2012 INTRODUCTION Disciplinary Proceeding No. 2011026817001 was filed on July 30, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent
Reference 2011026817001finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5459339 |
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