Ann Marie Box

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/07/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070501001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ann Marie Box (Respondent) Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 1662151 Pursuant to FINRA Rule 9216, Respondent Ann Marie Box 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 2021070501001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1662151

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