DALE LEWIS CASH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/08/2007: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006319201 TO: Department of Enforcement NASD RE: Dale Lewis Cash CRD No. 4909387 Pursuant to Rule 9216 of the NASD Code of Procedure, I, Dale Lewis Cash ("Respondent"), 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
Reference 2006006319201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4909387

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