SHANNON B. WITHEM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/17/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050017 TO: Department of Enforcement NASD RE: Shannon B. Withem Registered Representative (CRD No. 4486600) Pursuant to Rule 9216 of NASD Code of Procedure, I, Shannon V. Withem, 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
Reference C8A050017finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4486600

Other names1

Also known as1

SHANNON BOLT WITHEM

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