ROBERT A LAX

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/14/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020069019701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert A. Lax (Respondent) General Securities Representative, Investment Company Products and Variable Contracts Principal, Investment Company and Variable Contracts Products Representative CRD No. 1985758 Pursuant to FINRA Rule 9216, Respondent Robert A. Lax submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of
Reference 2020069019701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1985758

Other names1

Also known as1

Robert A. Lax

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