PATRICK J. SAHLI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/27/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050034 TO: Department of Enforcement NASD RE: Patrick J. Sahli. General Securities Principal and General Securities Representative CRD No. 1019843 Pursuant to Rule 9216 of NASD Code of Procedure, I, Patrick J. Sahli, 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, if accepted, NASD will not bring
Reference C02050034finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1019843 |
Other names1
Also known as1
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