HAROLD LAWRENCE KLEIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/17/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004836001 TO: Department of Enforcement NASD RE: Harold Lawrence Klein, Respondent CRD No. 728058 Pursuant to Rule 9216 of NASD Code of Procedure, Harold Lawrence Klein ("Klein") 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 bring any future actions against me alleging
Reference 2006004836001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 728058 |
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