JOSEPH ALAN LIKENS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/31/2016: FINANCIAL 1NDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045108801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joseph A. Likens, Respondent General Securities Representative ("GSR") CRD No. 3084903 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Joseph A. Likens submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2015045108801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3084903

Other names1

Also known as1

Joseph A. Likens

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