ROBERT TURPIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150468643-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert Turpin, Respondent CRD No. 1063249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Robert Turpin, 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,
Reference 2015046864301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1063249

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