DENISE KAY WOODS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/17/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004687101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Denise Woods (CRD No. 3170325) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Denise Woods, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not
Reference 2006004687101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3170325

Other names1

Also known as1

DENISE WOODS

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