LEONARD V FOX, JR

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/16/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020913601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Leonard V. Fox Jr., Respondent General Securities Representative CRD No. 1034449 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
Reference 2009020913601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050482101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Leonard V. Fox, Jr., Respondent Former Registered Representative CRD No. 1034449 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 is submitted on the
Reference 2016050482101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1034449

Other names1

Also known as1

LEONARD V. FOX JR.

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.