MARC S. BRODER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017208501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Marc S. Broder, Respondent Investment Company Products/Variable Contracts Limited Principal CRD No. 2151364 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Marc S. Broder, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2009017208501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2151364

Other names1

Also known as1

MARC STEVEN BRODER

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