DOUGLAS D. IVAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022805201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Douglas D. Ivan, Respondent General Securities Representative, General Securities Principal, Municipal Securities Principal and Investment Banking Limited Representative CRD No. 2321165 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Douglas D. Ivan, submit this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2010022805201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2321165

Other names1

Also known as1

DOUGLAS DANIEL IVAN

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