Jason L. Seale III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/11/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063334201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason L. Seale III (Respondent) General Securities Representative CRD No. 1874548 Pursuant to FINRA Rule 9216, Respondent Jason L. Seale III submits 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
Reference 2019063334201data-portal.finra.orgfinra.org
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