STUART W. KASIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/18/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016832901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stuart W. Kasin, Respondent General Securities Representative CRD No.3105331 Pursuant to FINRA Rule 9216 of FINRA's 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 below. This AWC is submitted on the
Reference 2009016832901finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3105331

Other names1

Also known as1

STUART WILLIAMS KASIN

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