BILLY WAYNE ALLEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORTTY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044282301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Billy Wayne Allen, Respondent Former Registered Representative CRD No. 5515997 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Billy Wayne Allen ("Allen'') submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2015044282301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5515997 |
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