DAVID A. SETTLE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/13/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C3A050028 TO: Department of Enforcement NASD RE: David A. Settle, Registered Representative, Respondent CRD No. 4245687 Pursuant to Rule 9216 of NASD Code of Procedure, I [or Respondent] 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 AWC is submitted on the condition that,
Reference C3A050028data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4245687

Other names1

Also known as1

DAVID ALAN SETTLE

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