MICHAEL BRENT PETERSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003168601 To: Department of Enforcement NASD Re: Michael Brent Peterson General Securities Representative CRD # 4611211 Pursuant to Rule 9216 of NASD Code of Procedure, Michael Brent Peterson ("Peterson" or "Respondent") submits 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 2005003168601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4611211

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