Andrew M. Arthur

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042261801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FlNRA") RE: Andrew M. Arthur, Respondent Registered Representative CRD No. 1864083 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Andrew M. Arthur (''Arthur") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2014042261801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/13/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065385101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew M. Arthur, Respondent General Securities Representative CRD No. 1864083 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Andrew M. Arthur submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020065385101data-portal.finra.org finra.org

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