MICHAEL W. CLAIBORNE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017323101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael W. Claiborne, Respondent Investment Company Products/Variable Contracts Representative Investment Company Products/Variable Contracts Principal CRD No. 2624787 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2009017323101finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2624787

Other names1

Also known as1

MICHAEL WAYNE CLAIBORNE

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