PAULA LUDWIG NORDQUIST
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2008: Financial Industry Regulatory Authority NO. 2007009038901 TO: Department of Enforcement RE: Paula Ludwig Nordquist CRD No. 5123181 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Paula Ludwig Nordquist ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions
Reference 2007009038901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5123181 |
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