MICHAEL LEE CLOFINE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/30/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20060041171-01 TO: Department of Market Regulation NASD FROM: Michael Lee Clofine CRD No. 2410059 Pursuant to Rule 9216 of NASD Code of Procedure, I, Michael Lee Clofine, 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. I submit this AWC on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based
Reference 2006004117101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2410059 |
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