RICHARD GEORGE GLEESON, II
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080154031 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard Gleeson, Respondent Former General Securities Representative CRD No. 4023026 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Richard Gleeson, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2008015403101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4023026 |
Other names1
Also known as1
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