David Jeremy Welty
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/19/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052638401 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: David Jeremy Welty, Respondent Former Registered Representative CRD No. 6020910 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consenl ("AWC") for the purpose of proposing a settlement oft he alleged rule violations described below. This AWC is submitted on the
Reference 2016052638401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6020910 |
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