WILLIAM R. SABO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/29/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001352102 TO: Department of Enforcement NASD RE: William R. Sabo, Respondent CRD No. 2045150 Pursuant to Rule 9216 of NASD's Code of Procedure, William R. Sabo submits 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
Reference 2005001352102finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2045150

Other names1

Also known as1

WILLIAM RANDAL SABO

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