PEGGY SUE HARRELL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. PEGGY SUE HARRELL, (CRD NO. 4460320) RESPONDENT. Disciplinary Proceeding No. 2009019962301 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2009019962301 was filed on May 11, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant")/ Respondent Peggy Sue Harrell ("Respondent") submitted
05/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PEGGY SUE HARRELL, (CRD No. 4460320) Respondent. Disciplinary Proceeding No. 2009019962301 COMPLAINT The Department of Enforcement alleges: RESPONDENT AND JURISDICTION 1. Peggy Sue Harrell ("Harrell") entered the securities industry in 2001 when she was employed by a FINRA member firm. Harrell became registered with FINRA as an investment company and variable products representative in
Reference 2009019962301data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4460320

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.