BRIAN L. PAULEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/17/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004940901 TO: Department of Enforcement NASD RE: Brian L. Pauley Registered Representative (4253361) Pursuant to Rule 9216 of NASD Code of Procedure, I, Brian L. Pauley ("Pauley" or "Respondent"), submit 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
Reference 2006004940901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4253361 |
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