MATTHEW P SCHULMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045654001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Matthew P. Schulman, Respondent CRD No. 3126179 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Matthew Schulman, ("Schulman"), submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
Reference 2015045654001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3126179

Other names1

Also known as1

MATTHEW P. SCHULMAN

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