DAVID CHARLES BURKE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/30/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080266701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David C. Burke (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2239637 Pursuant to FINRA Rule 9216, Respondent David C. Burke submits 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 accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2023080266701finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2239637

Other names1

Also known as1

David C. Burke

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.