STEVEN MANDALA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022904801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steven Mandala Respondent Registered Representative CRD No. 4726839 Pursuant to Rule 9216 of FINRA Code of Procedure, I, Steven Mandala ("Mandala"), 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
Reference 2010022904801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4726839

Other names1

Also known as1

STEVEN MICHAEL MANDALA

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