ALVIN S. MIRMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/03/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072005007001 TO: Department of Enforcement NASD RE: Alvin S. Mirman, Respondent General Securities Principal CRD No. 336645 Pursuant to Rule 9216 of NASD Code of Procedure, Alvin S. Mirman ("Mirman") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future
Reference E072005007001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	336645

Other names1

Also known as1

ALVIN SAUL MIRMAN

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