DANIEL CASTRO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/23/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001982501 TO: Department of Enforcement NASD RE: Daniel Castro, Respondent [Investment Company and Variable Contracts Products Representative] [CRD No. 4671318] Pursuant to Rule 9216 of NASD Code of Procedure, I, Daniel Castro, submit 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
Reference 2005001982501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4671318 |
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