Linda Pierre Smith
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/09/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065330101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Buy the Block (Respondent) Funding Portal Member CRD No. 287496 Linda Pierre Smith (Respondent) Associated Person of a Funding Portal Member CRD No. 6768264 Pursuant to FINRA Rule 9216, Respondents Buy the Block and Linda Pierre Smith 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, if accepted,
Reference 202006530101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6768264 |
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