2023077787801 Christopher John Carpenter CRD 6601132 AWC gg (2023-1687047606740).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023077787801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christopher John Carpenter (Respondent)
Former General Securities Representative
CRD No. 6601132
Pursuant to FINRA Rule 9216, Respondent Christopher John Carpenter submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.