JOSEPH W. SEDDON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/21/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005696901 DISTRICT 9 NEW JERSEY TO: Department of Enforcement NASD RE: Joseph W. Seddon, Respondent General Securities Principal CRD No. 4394833 Pursuant to Rule 9216 of the NASD Code of Procedure, Joseph W. Seddon (Seddon) 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
Reference 2006005696901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4394833 |
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