ERIC RICHARD RADEZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/03/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000292-03 TO: Market Regulation Department NASD RE: Eric Richard Radez (CRD No. 4616939) Pursuant to Rule 9216 of NASD Code of Procedure, Eric Richard Radez ("Radez" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2005000029203finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4616939

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.