THOMAS KENNEDY GIFFORD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/26/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9B050027 -DISTRICT 9 NEW JERSEY TO: Department of Enforcement NASD RE: Thomas Kennedy Gifford, Respondent CRD No. 2370665 Pursuant to Rule 9216 of NASD Code of Procedure, Thomas Kennedy Gifford ("Gifford") 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 bring
Reference C9B050027data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2370665 |
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