CHRISTOPHER ANTHONY FERNAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/19/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017053314902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Fernan (Respondent) Former General Securities Representative CRD No. 5896584 Pursuant to FINRA Rule 9216. Respondent Christopher Fernan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017053314902data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5896584

Other names1

Also known as1

Christopher Fernan

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