DOUGLAS E. TOTTEN JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07050033-AWC TO: Department of Enforcement NASD RE: Douglas E. Totten, Jr., Respondent General Securities Principal and Representative [CRD No. 1350178] Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part JJ below. This AWC is submitted on the condition that, if accepted,
Reference C07050033data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1350178 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.