COREY DWAYNE MINOR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/22/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002299901 TO: Department of Enforcement NASD RE: Corey Dwayne Minor General Securities Principal CRD No. 3136902 Pursuant to Rule 9216 of NASD Code of Procedure, Corey Dwayne Minor {"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 further actions
Reference 2005002299901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3136902 |
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