JOE RUSSELL BANCROFT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015912901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joe Russell Bancroft, Respondent CRD No. 4534394 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Joe R. Bancroft ("I" "Bancroft" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation described in Part II below. This AWC is
Reference 2008015912901finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4534394 |
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