MARSHA K. SCHUBERT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052004030701 TO: Department of Enforcement NASD RE: Marsha K. Schubert, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative [CRD No. 2205744] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent 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
Reference E052004030701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2205744

Other names1

Also known as1

MARSHA KAY SCHUBERT

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