Gloria J Willis

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/30/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068960401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gloria J. Willis (Respondent) Former General Securities Representative CRD NO. 4862077 Pursuant to FINRA Rule 9216, Respondent Gloria J. Willis
Reference 2020068960401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4862077

Other names1

Also known as1

Gloria J. Willis

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.