DAVID A OHLSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/04/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050033982 TO: Department of Enforcement NASD RE: David A. Ohlson, Investment Company Products/Variable Contracts Principal CRD No. 2027621 Pursuant to Rule 9216 of NASD Code of Procedure, I, David A. Ohlson ("Ohlson"), 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
Reference 2005003398201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2027621 |
Other names1
Also known as1
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