Eric Lowell Small
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061329701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric Lowell Small, Respondent Registered Representative CRD No. 2140208 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Eric Lowell Small ("Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019061329701finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016340901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric Lowell Small Registered Principal (CRD No. 2140208) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Eric Lowell Small, 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 submitted on the condition
Reference 2009016340901data-portal.finra.orgfinra.org
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