NATHAN SILVA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/25/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20140426897-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nathan Silva, Respondent CRD No. 5291177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 on the condition that, if accepted,
Reference 2014042689701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5291177

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