Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

FINRA Disciplinary Actions Online

Displaying 1 - 1 of 1
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2019061881501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061881501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dawn Hare, Respondent Former General Securities Representative and General Securities Principal CRD No. 2654713 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dawn Hare 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)
Dawn Hare
07/13/2020