ERIC SPENCER OVESEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047826501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric S. Ovesen, Respondent CRD No. 6277371 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure,
Reference 2015047826501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6277371

Other names1

Also known as1

Eric S. Ovesen

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