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Christopher R. McMorrow

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

    01/29/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059035702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher R. McMorrow (Respondent) Former Investment Company Products/Variable Contracts Products Representative CRD No. 4713155 Pursuant to FINRA Rule 9216, Respondent Christopher R. McMorrow submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059035702finra.orgdata-portal.finra.org

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