LANCE B. TOPOL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130369890 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lance B. Topol, Respondent General Securities Representative CRD No. 5731836 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lance B. Topol ("Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2013036989001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5731836

Other names1

Also known as1

LANCE TOPOL

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