MITCHELL LEWIS BLOOM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/06/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056344701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mitchell Bloom, Respondent Former Registered Representative CRD No. 1682361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Mitchell Bloom, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017056344701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1682361

Other names1

Also known as1

Mitchell Bloom

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.