LESLIE M WARD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150445345-01 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: Leslie Ward, Respondent CRD No. 6130814 Pursuant to FINRA Rule 9216 of FINRA's Code of Prooedure, Leslie Ward ("Ward" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a setllement of the alleged rule
Reference 2015044534501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6130814

Other names1

Also known as1

LESLIE WARD

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