Daniella R. Rand
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/01/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080140101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniella R. Rand (Respondent) Former General Securities Principal CRD No. 4321414 Pursuant to FINRA Rule 9216, Respondent Daniella R. Rand submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2023080140101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4321414 |
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