DAN MOSS JR.

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036319301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dan Moss, Jr., Respondent General Securities Representative [CRD No. 341422] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dan Moss, Jr., submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2013036319301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	341422

Other names1

Also known as1

DAN MOSS, JR

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.