Todd R. Anderson

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079333101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Todd R. Anderson (Respondent) Former General Securities Representative CRD No. 1896352 Pursuant to FINRA Rule 9216, Respondent Todd R. Anderson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2023079333101finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/20/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063749201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Todd Ray Anderson (Respondent) General Securities Representative CRD No. 1896352 Pursuant to FINRA Rule 9216, Respondent Todd Ray Anderson submits 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2019063749201finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1896352

Other names1

Also known as1

Todd Ray Anderson

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