MICHAEL JOSEPH KNAPP
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20970076901-01 To: Department of Enforcement Financial Industry Regulatory Authority Re: Michael Joseph Knapp General Securities Principal CRD No. 1303926 Pursuant to Rule 9216 of FINRA Code of Procedure, I, Michael Joseph Knapp (Knapp) submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
Reference 2007007690101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1303926 |
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