DAVID GODDARD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033460201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Goddard, Respondent Former General Securities Representative CRD No. 4518082 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, David Goddard ("Goddard" or “Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the
Reference 2012033460201finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4518082

Other names1

Also known as1

DAVID L. GODDARD

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