DIANA SUE CHADWICK
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039630302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Diana Sue Chadwick, Respondent Former Registered Representative CRD No. 3139436 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 condition
Reference 2013039630302data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3139436 |
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