LEIGHTON D. APPLEFELD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/01/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005878501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Leighton D. Applefeld, Respondent General Securities Principal and General Securities Representative [CRD No. 6661] Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Leighton D. Applefeld submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2006005878501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6661

Other names1

Also known as1

LEIGHTON DAVID APPLEFELD

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