SAMUEL C. PARKS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3B2004021902 TO: Department of Enforcement NASD RE: Samuel C. Parks, Respondent General Securities Representative CRD No. 602872 Pursuant to Rule 9216 of NASD Code of Procedure, I submit 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 bring any future actions against me alleging
Reference E3B2004021902data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	602872

Other names1

Also known as1

SAMUEL CONANT PARKS

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