RAYMOND LEE BOWDICH, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.C3A050010 TO: Department of Enforcement NASD RE: Raymond L. Bowdich, Respondent CRD No. 2051235 Pursuant to Rule 9216 of NASD Code of Procedure, I [or Respondent] 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
Reference C3A050010data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2051235 |
Other names1
Also known as1
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