ROBERT ALLEN FROST
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/09/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050013646 TO: Department of Enforcement NASD RE: Robert Allen Frost, Respondent Investment Company Products/Variable Contracts Representative CRD No. 1067640 Pursuant to Rule 9216 of NASD Code of Procedure, I, Robert Allen Frost ("Frost") 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,
Reference 2005001364601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1067640 |
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