MONICA NICOLE ANDERSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006062601 TO: Department of Enforcement NASD RE: Monica Nicole Anderson, Respondent Investment Company & Variable Contracts Products Representative CRD No. 5065346 Pursuant to Rule 9216 of NASD Code of Procedure, Monica Nicole Anderson (Respondent) 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,
Reference 2006006062601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5065346 |
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