DAVID MICHAEL RONDEAU
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004058501 TO: Department of Enforcement NASD RE: David Michael Rondeau, Respondent CRD No.1904325 Pursuant to Rule 9216 of NASD Code of Procedure, David Michael Rondeau ("Rondeau" or "Respondent") submits 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
Reference E9B2004058501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1904325 |
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