Cooper Malone McClain Inc.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130357124 TO: Department of Enforcement Financial Industry Regulatory 20130357124Authority ("FINRA") RE: Cooper Malone McClain, Inc. ("CMMC"), Respondent CRD No. 18637 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2013035712401data-portal.finra.orgfinra.org
Other names1
Weak aliases1
Spellings the source flags as too generic to establish a match on their own.
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