LAWRENCE LEE SULLIVAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C01050011 TO: Department of Enforcement NASD RE: Lawrence Lee Sullivan, Respondent General Securities Representative, Investment Company Products / Variable Contracts Principal CRD No. 2491233 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted
Reference C01050011data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2491233 |
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