JOHN ARTHUR SHALVEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/17/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002351201 TO: Department of Enforcement NASD RE: John Shalvey, Respondent Investment Company Products/Variable Contracts Representative CRD No. 1916061 Pursuant to Rule 9216 of NASD Code of Procedure, I, John Shalvey, 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
Reference 2005002351201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1916061 |
Other names1
Also known as1
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