PETER D. WICK III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/18/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C3B050002 TO: Department of Enforcement NASD RE: Peter D. Wick III, Respondent Investment Company / Variable Contracts Representative CRD No. 1900650 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 II below. This AWC is submitted on
Reference C3B050002data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1900650 |
Other names1
Also known as1
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