DAVID MICHAEL KARANDOS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073675001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Karandos (Respondent) Former General Securities Representative CRD No. 1934119 Pursuant to FINRA Rule 9216, Respondent David Karandos submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2022073675001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1934119

Other names1

Also known as1

David Karandos

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