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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2019063011601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063011601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Robert Barrows, Respondent Former Registered Representative CRD No. 721515 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Robert Barrows 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)
John Robert Barrows
01/31/2020