SARAH LEANNE BANON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/26/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060356601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sarah L. Banon, Respondent CRD No. 6648369 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 settlement of the alleged rule violations described below.
Reference 2018060356601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	6648369

Other names1

Also known as1

Sarah L. Banon

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