CYNTHIA T CARPENTER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/04/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004757401 TO: Department of Enforcement NASD RE: Cynthia T. Carpenter, Respondent Limited Representative - Investment Company and Variable Contracts Products CRD No. 4571245 Pursuant to Rule 9216 of the NASD Code of Procedure, Cynthia T. Carpenter ("Carpenter") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the
Reference 2006004757401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4571245

Other names1

Also known as1

CYNTHIA T. CARPENTER

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