SHELDON BRUCE FOX
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004053201 TO: Department of Enforcement NASD RE: Sheldon Bruce Fox, Respondent CRD No. 2167064 Pursuant to Rule 9216 of NASD Code of Procedure, Sheldon Bruce Fox ("Fox") 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 any future actions against me alleging
Reference E9B2004053201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 814251 |
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