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Archie Abel Blood

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/01/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071992801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Archie Abel Blood (Respondent) Former General Securities Representative, Investment Company and Variable Contracts Products Representative and Direct Participation Program Representative CRD No. 1861277 Pursuant to FINRA Rule 9216, Respondent Archie Abel Blood submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021071992801finra.orgdata-portal.finra.org

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