GERALD LEE BRODSKY
Financial crimeUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/29/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061086302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gerald L. Brodsky, Respondent Former Registered Representative CRD No. 1172647 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gerald L. Brodsky submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2019061086302finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1172647 |
Other names1
Also known as1
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