IRENE GOLDBERG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Enforcement NASD RE: Irene Goldberg (CRD 1282174) Respondent and Mitchell Louis Goldberg (CRD 1386682) Respondent Pursuant 10 Rule 9216 of NASD Code of Procedure, Irene Goldberg ("IG") and Mitchell Goldberg ("MG") (collectively "Respondents") 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. This AWC is submitted on the condition that, if
Reference CLI050011finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1282174 |
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