Victor Polakoff
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/27/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055886401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Victor Polakoff, Respondent Former General Securities Representative, General Securities Principal, Municipal Securities Principal, Investment Banking Representative, Operations Professional, and Registered Options Principal CRD No. 365011 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Victor Polakoff submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2017055886401finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 365011 |
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