Danny Morris Thomas
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047087001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Danny Morris Thomas, Respondent Investment Company Products/Variable Contracts Representative CRD No. 3056096 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Danny Morris Thomas, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2015047087001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3056096 |
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