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JOHN T. BAXTER

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

    07/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John T Baxter (CRD No. 3100259), Respondent. Disciplinary Proceeding No. 20090183288 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 8, 2010 INTRODUCTION Disciplinary Proceeding No. 20090183288 was filed on February 4, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). On June 14, 2010, Respondent John T. Baxter ("Baxter")

    Reference 2009018328801data-portal.finra.orgfinra.org

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