JAN DAVID HENDERSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090195139 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jan Henderson. Respondent Former Registered Representative - Currently Unregistered CRD No. 2401845 Pursuant to FINRA Rule 9216 of FINRA's 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 below. This AWC
Reference 2009019513901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2401845

Other names1

Also known as1

JAN HENDERSON

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.