MAX J SILBERMAN
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOS. 2008015360001, 20080144239, 20090183939 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Max J. Silberman, Respondent CRD No. 423803 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Max J. Silberman (Silberman or Respondent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2008015360001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/04/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. MAX J. SILBERMAN Registered Representative, (CRD No. 423803) Respondent. Disciplinary Proceeding No. C8A040028 Hearing Officer Dana R. Pisanelli ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 4, 2005 INTRODUCTION Disciplinary Proceeding No. C8A040028 was filed on May 4, 2004, by the Department of Enforcement of NASD ("Complainant"). Respondent
Reference C8A040028data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 423803 |
Other names1
Also known as1
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