Carnell Moore

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/09/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075854801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carnell Moore (Respondent) Former General Securities Representative CRD No. 2715870 Pursuant to FINRA Rule 9216, Respondent Carnell Moore 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 2022075854801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043610701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carnell Moore Respondent General Securities Representative CRD No. 2715870 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Carnell Moore ("Respondent"), submit 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
Reference 2014043610701data-portal.finra.org finra.org

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