RACHEL KATHERINE CHAPMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/26/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080469001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rachel Chapman (Respondent) Former General Securities Representative CRD No. 6058136 Pursuant to FINRA Rule 9216, Respondent Rachel Chapman 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 is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2023080469001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6058136

Other names1

Also known as1

Rachel Chapman

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