MARY A. SIVER-WALTERS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090179157-1 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mary A. Siver-Walters, Respondent Registered Representative CRD No. 2510782 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I [Mary A. Siver-Walters "Siver-Walters" or "Respondent"] submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2009017915701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2510782 |
Other names1
Also known as1
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