Christopher A. Carra

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/29/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030840501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher A. Carra, Respondent General Securities Representative CRD No. 2214509 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Christopher A. Carra, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference 2011030840501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mark S. Corcoran. CRD No. 2490867, Respondent. Disciplinary Proceeding No. 20110292835-01 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 25, 2012 INTRODUCTION Disciplinary Proceeding No. 20110292835-01 was filed on January 17, 2012, by the Department of Enforcement of the Financial Industry
Reference 2011029283501data-portal.finra.org finra.org

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