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BRIAN P. CARR

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

    02/22/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2003043802 TO: Brian P. Carr, Respondent CRD No. 2577346 Pursuant to Rule 9216 of NASD Code of Procedure, Brian P. Carr ("Carr") submits this Letter of Acceptance, Waiver and Consent ("AWC:) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition

    Reference E9B2003043802finra.orgdata-portal.finra.org

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