JEFFREY C. LEO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/07/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018339702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey C. Leo, Respondent General Securities Representative [CRD No. 2557553] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jeffrey C. Leo, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
Reference 2009018339702data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2557553

Other names1

Also known as1

JEFFREY CHRISTIAN LEO

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