JOSEPH W. LEIGHTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/20/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050043 TO: Department of Market Regulation NASD RE: Joseph W. Leighton, Respondent Registered Representative CRD No. 722436 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, NASD will not bring any future actions against me alleging
Reference CLG050043data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	722436

Other names1

Also known as1

JOSEPH WILLIAM LEIGHTON

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