ARTHUR C. LEVY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## C07050011-AWC TO: Department of Enforcement NASD RE: Arthur C. Levy CRD No. 2199632 Pursuant to Rule 9216 of NASD Code of Procedure, I, Arthur C. Levy, submit 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 violations based on
Reference C07050011data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2199632

Other names1

Also known as1

ARTHUR CONRAD LEVY

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