ANTHONY G. PETERSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/26/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050007 TO: Department of Enforcement NASD RE: Anthony G. Peterson Registered Representative CRD No. 1902189 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 the condition that, if accepted, NASD will
Reference C8A050007finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1902189 |
Other names1
Also known as1
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