SUSAN CASTRO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/02/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004104301 TO: Department of Enforcement NASD RE: Susan Castro Associated Person CRD No. 4661014) Pursuant to Rule 9216 of NASD Code of Procedure, I, Susan Castro, 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 bring any future actions against me alleging violations based
Reference E8A2004104301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4661014

Other names1

Also known as1

SUSAN M. CASTRO

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