ALEXANDER GOLDSTEIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/15/2008: FINANCIAL INDUSTRY REGULATORY AUTORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070075515-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Mr. Alexander Goldstein (CRD No. 4373969) Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, I, Alexander Goldstein ("Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2007007551501finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4373969

Other names1

Also known as1

MR. ALEXANDER GOLDSTEIN

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