MARY ANN WISE
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049172801 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Mary Ann Wise, Respondent CRD No. 1266649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Mary Ann Wise ("Wise" or ?'Respondent"), 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
Reference 201604917201finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049172801 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Mary Ann Wise, Respondent CRD No. 1266649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Mary Ann Wise ("Wise" or "Respondent"), 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
Reference 2016049172801finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1266649 |
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