DIANA K. BIGGS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO C04050012 To: Department of Enforcement NASD Re: Diana K. Biggs Investment Company/Variable Contracts Principal (CRD No. 2507999) Pursuant to Rule 9216 of NASD Code of Procedure, I, Diana K. Biggs, 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 AWCc is submitted on the condition that, if accepted, NASD will not bring any future actions against
Reference C04050012data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2507999

Other names1

Also known as1

DIANA KAY BIGGS

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.