CHRISTOPHER J. PERROTT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER J. PERROTT (CRD No. 4188299), Respondent. Disciplinary Proceeding No. 2009017496501 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION October 12,2009 The Respondent violated Procedural Rule 8210 and Conduct Role 2010 by failing to provide testimony and information to FINRA in connection with FINRA's investigation
Reference 2009017496501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4188299

Other names1

Also known as1

CHRISTOPHER JOSEPH PERROTT

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