ROBERT CHARLES MANGOLD

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037265701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert Charles Mangold, Respondent CRD No. 1665614 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
Reference 2013037265701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/31/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044146601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert Charles Mangold, Respondent CRD No.1665614 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
Reference 2015044146601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1665614

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