MICHAEL LAWRENCE WALTERS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO C8A050035 To: Department of Enforcement NASD Re: Michael Lawrence Walters General Securities Representative CRD # 1674530 Pursuant to Rule 9216 of NASD Code of Procedure, Michael Lawrence Walters ("Walters" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not
Reference C8A050035data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1674530

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