EDWARD JAMES WENDOL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038557301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward James Wendol, Respondent CRD No. 2392007 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 rule violations described below. This AWC is submitted on the condition that, if
Reference 2013038557301finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2392007 |
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