JATINDER DUA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/09/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002107001 TO: Department of Enforcement NASD RE: Jatinder Dua, Respondent Investment Company and Variable Contracts Products Representative CRD No. 4523365 Pursuant to Rule 9216 of the NASD Code of Procedure, Jatinder Dua ("Dua") 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
Reference 2005002107001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4523365 |
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