FRANK G PENDL, IV

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044805301 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Frank G. Pendl IV, Respondent Registered Representative CRD No. 5792901 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Frank G. Pendl IV ("Pendl"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
09/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044805301 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Frank G. Pendl IV, Respondent Registered Representative CRD No. 5792901 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Frank G. Pendl IV ("Pendl"), submit this Letter of Acceptance, Waiver and Consent (??AWC") for the purpose of proposing a settlement of the alleged rule violations described below. Th
Reference 2015044805301data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5792901

Other names1

Also known as1

Frank G. Pendl IV

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