BENJAMIN HARRY COHEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/13/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170873 To: Department of Enforcement FINRA Re: Benjamin Harry Cohen General Securities Representative CRD No. 4349135 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, I, Benjamin Harry Cohen, 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
Reference 2009017087301finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4349135 |
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