THOMAS ARNOLD LETZLER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/01/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060045106 01 TO: Department of Enforcement NASD RE: Thomas Letzler Limited Registered Representative CRD No. 2209007 Pursuant to Rule 9216 of NASD Code of Procedure, I, Thomas Letzler ("Letzler" or "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
Reference 2006004510601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2209007

Other names1

Also known as1

THOMAS LETZLER

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