NATHANIEL AARON FINKIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020132901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nathaniel Aaron Finkin, Respondent General Securities Representative CRD No. 5596063 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2009020132901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5596063

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