2019064979001 Christopher Joseph CRD 6841532 AWC jlg (2022-1644711661635).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064979001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christopher Joseph (Respondent)
Former General Securities Representative
CRD No. 6841532
Pursuant to FINRA Rule 9216, Respondent Christopher Joseph 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 on the
FCS Verification Period
As a reminder, FINRA Rule 4517 requires firms to complete an annual verification of their FINRA Contact System (FCS) contact information within the first 17 business days of each calendar year. Please log in to FINRA Gateway and perform your annual verification. This year’s deadline is Wednesday, January 26, 2022.