Thomas Phillip Simpson
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078342801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Phillip Simpson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5335897 Pursuant to FINRA Rule 9216, Respondent Thomas Phillip Simpson 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 2023078342801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5335897 |
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