FREDERICK GRAHAM BRIMMER, II
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OFACCEPTANCE, WAIVER AND CONSENT 20120324958-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Frederick Graham Brimmer II, Respondent CRD No. 5655405 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Frederick Graham Brimmer II ("Brimmer" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2012032495801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5655405 |
Other names1
Also known as1
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