LEONARD PETER FARBER

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027760601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Leonard Peter Farber, Respondent General Securities Representative CRD No. 2437625 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits 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
Reference 2011027760601finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AURA FINANCIAL SERVICES, INC, (CRD No. 42822), ERIK MATZ (CRD No. 2715303), LEONARD FARBER (CRD No. 2437625), and TIMOTHY GAUTNEY (CRD No. 2552149), Respondents. Disciplinary Proceeding No. CLI05001402 Hearing Officer-David M. FitzGerald ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 22, 2005 INTRODUCTION Disciplinary Proceeding No.CLI0500014 was filed on May 26, 2005 by the Department of Enforcement of NASD ("Complainant").
Reference CLI05001402data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2437625

Other names1

Also known as1

LEONARD FARBER

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