HARVEY JAMES STERNAT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/20/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005885101 TO: Department of Enforcement NASD RE: Harvey Sternat ("Sternat") Registered Representative CRD No. 4500133 Pursuant to Rule 9216 of NASD Code of Procedure, I, Harvey Sternat, 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 against me
Reference 2006005885101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4500133

Other names1

Also known as1

HARVEY STERNAT

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