DANIEL L THOMPSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100229637 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel L. Thompson, Respondent CRD No. 5619425 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Daniel L. Thompson, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2010022963701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5619425

Other names1

Also known as1

DANIEL L. THOMPSON

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.