Sherwin Sargeant
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/05/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079285701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sherwin Sargeant (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5096798 Pursuant to FINRA Rule 9216, Respondent Sherwin Sargeant submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2023079285701finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5096798 |
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