JOHN S. COTTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C05040090 TO: Department of Enforcement NASD RE: John S. Cotton, Respondent General Securities Principal and General Securities Representative [CRD No. 1835778] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not
Reference C05040090data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1835778

Other names1

Also known as1

JOHN SHELDON COTTON

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