ANTHONY P. VALOIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/17/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062003011905 TO: Department of Enforcement NASD RE: Anthony P. Valois, Respondent General Securities Principal CRD No. 2868602 Pursuant to Rule 9216 of NASD Code of Procedure, Anthony P. Valois ("Valois or "Respondent") 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, if accepted, NASD will not
Reference E062003011905data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2868602

Other names1

Also known as1

ANTHONY PETER VALOIS

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