SAMUEL W EHRENTHAL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 2015044328301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Samuel W. Ehrenthal, Respondent Investment Company Shares and Variable Contracts Representative (CRD No. 2807870) 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 2015044328301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2807870

Other names1

Also known as1

SAMUEL W. EHRENTHAL

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