MATTHEW M SEXTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ELI20040407-01 TO: Department of Enforcement NASD RE: Matthew Sexton, Respondent (CRD No. 3261031) Pursuant to Rule 9216 of NASD Code of Procedure, I, Matthew Sexton ("Respondent" or "Sexton"), 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 not bring any future actions
Reference ELI2004040701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3261031

Other names1

Also known as1

MATTHEW SEXTON

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