DAVID HARRY MICHAEL BAUDO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO: 2010024861801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Harry Michael Baudo, Respondent General Securities Representative CRD No. 3187137 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Harry Michael Baudo, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2010024861801finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3187137 |
Other names1
Also known as1
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