ROBERT J. KERRIGAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2()15()471514()l TO: Department of Enforcement 1:ina?icial Industry Re?ulatory Authority ("FINRA") RE: Robert J. Kerrigan, M.s 1 ???11 111. /Il Registered Re?r?'sentalive CRD No. 26851(? Purstianl to FINRA Rule 9216 of FINRA's Code of Procedure, I, Roberl J. Kerrigan, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlenient of the alleged rule violations described b
Reference 2015047151401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 268516 |
Other names1
Also known as1
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