DENNIS S. COMERFORD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/09/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001351601 Department of Enforcement NASD Dennis S. Comerford, Respondent General Securities Representative [CRD No. 51684] Pursuant to Rule 9216 of NASD Code of Procedure, Dennis S. Comerford 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,
Reference 2005001351601finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 51684 |
Other names1
Also known as1
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