Dee Dee Brooks
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058983601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dee Dee Brooks, Respondent Former Investment Company and Variable Contracts Product Representative CRD No. 2559233 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dee Dee Brooks submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018058983601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2559233 |
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