Type not stated
Screen this subjectChristopher Denis
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2025: Denis arranged to be, and was, present in the same room as his business partner while she took Securities Industry Essentials (SIE) examinations in November 2021 and June 2022 in order to assist her in cheating on the examinations. By this conduct, Denis violated FINRA Rule 2010 and is suspended for 18 months and fined $5,000.
Reference 2023078027502data-portal.finra.orgfinra.org
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