ELLIOT HARRIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETIER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048233601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elliot Harris, Respondent CRD No.2496586 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 on the condition that, if accepted, FINRA will not
Reference 2015048233601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2496586

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