DENNIS JAMES MURPHY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/18/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062980701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dennis J. Murphy, Respondent Former General Securities Representative, General Securities Principal, and Compliance Officer CRD No. 4840274 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Dennis J. Murphy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
Reference 2019062980701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4840274

Other names1

Also known as1

Dennis J. Murphy

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