DAVID J. DEWALD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20090190416 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: David J. DeWald CRD No. 2782171 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, David J. DeWald ("DeWald") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,
Reference 2009019041601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2782171

Other names1

Also known as1

DAVID JOHN DEWALD

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