JOAN MARIE LARSEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150478066-01 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Joan Marie Larsen, Respondent General Securities Representative CRD No. 4504926 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, l submit 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
Reference 2015047806601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4504926

Other names1

Also known as1

JOAN MARIE LARSON

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