NEIL C. WINTERROWD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029524101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Neil C. Winterrowd, Respondent CRD No. 2481571 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,
Reference 2011029524101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2481571

Other names1

Also known as1

NEIL COPELAND WINTERROWD

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