Waldon Fenster

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/06/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082405101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Waldon Fenster (Respondent) Former Associated Person CRD No. 7678526 Pursuant to FINRA Rule 9216, Respondent Waldon Fenster submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2024082405101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	7678526

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