ANNA KRUGLIKOV

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048912702 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Anna Kruglikova, Respondent Former Non-Registered Associated Person CRD No. 5894094 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. This AWC
Reference 2016048912702data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5894094

Other names1

Also known as1

Anna Kruglikova

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