GREGG D TEMPLETON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/20/2017: FINANCIAI, INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046811401 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA") RE: Gregg D. Templeton ("Templeton"), Respondent General Securities Representative CRD No. 2412775 Pursuant to FTNRA Rule 9216 of FTNRA'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
Reference 2015046811401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2412775

Other names1

Also known as1

GREGG D. TEMPLETON

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