CASI MARIE MARTIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033861801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Casi Marie Martin, Respondent Former Series 6 and 63 Registered Representative CRD No. 5986401 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") tor the purpose of proposing u settlement of the alleged rule violations described below. This AWC is submitted
Reference 2012033861801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5986401 |
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