ROBERT JAMES HALLDIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056119601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Halldin (Respondent) Former General Securities Principal and General Securities Representative CRD No. 1458098 Pursuant to FINRA Rule 9216, Respondent Robert Halldin submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017056119601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1458098

Other names1

Also known as1

Robert Halldin

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