DONALD R. DAHN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028370001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donald R. Dahn, Respondent Investment Company and Variable Contracts Products Representative CRD No. 2172800 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Donald R. Dahn, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2011028370001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036768101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donald R. Dahn, Respondent Investment Company and Variable Contracts Products Representative CRD No. 2172800 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Donald R. Dahn, submit this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing
Reference 2013036768101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2172800

Other names1

Also known as1

DONALD RICHARD DAHN

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