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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017055979301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055979301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia Diane Cowden (Respondent) Former General Securities Representative CRD No. 2054676 Pursuant to FINRA Rule 9216, Respondent Cynthia Diane Cowden submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Cynthia Diane Cowden
10/21/2020