ALAN RONALD TAYLOR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100246876-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alan Ronald Taylor, Respondent General Securities Principal CRD No. 1282948 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Alan Ronald Taylor submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged
Reference 2010024687601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1282948 |
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