JO ELLEN FISHER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. JO ELLEN FISHER (CRD No. 3047985), Respondent. DISCIPLINARY PROCEEDING No. 2014041208401 HEARING OFFICER: CC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 1, 2014 INTRODUCTION Disciplinary Proceeding No. 2014041208401 was filed on July 29, 2014 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Jo Ellen Fisher submitted an
Reference 2014041208401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3047985 |
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.