ANNE E. FINLEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/01/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004043101 TO: Department of Enforcement NASD RE: Anne E. Finley, Respondent CRD No. 4499125 Pursuant to Rule 9216 of NASD Code of Procedure, Anne E. Finley ("Finley") 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 actions against me alleging violations
Reference E9B2004043101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4499125 |
Other names1
Also known as1
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