DENISE ELLEN MALIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034386401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Denise Ellen Roy Malin Registered Representative CRD No. 3145027 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Denise Ellen Roy Malin ("Malin"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2012034386401finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3145027

Other names1

Also known as1

DENISE ELLEN ROY MALIN

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