DANIEL FRANCIS O'LEARY JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024890101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel Francis O'Leary Jr., Respondent Investment Company Products/Variable Contracts Representative and General Securities Representative CRD No. 4365580 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Daniel Francis O' Leary Jr., submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2010024890101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4365580 |
Other names1
Also known as1
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