TIMOTHY JOHN STABILE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/28/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060041870-01 To: Department of Enforcement NASD Re: Timothy John Stabile General Securities Representative (CRD No. 1940043) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Timothy John Stabile (Stabile), 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, NASD will not bring
Reference 2006004187001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1940043 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.