MALCOLM J BABIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150454876-01 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Malcolm Jamal Babin CRD No. 5387332 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged violations described below. This AWC is submitted on the
Reference 2015045487601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5387332

Other names1

Also known as1

MALCOLM JAMAL BABIN

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