HAROLD S. SIMPSON SR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/26/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2006004213501 TO Department of Enforcement NASD RE Harold S. Simpson, Sr., Respondent General Securities Representative [CRD No. 1071796] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent submits 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
Reference 2006004213501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1071796 |
Other names1
Also known as1
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