DANIEL STEPHAN FLITT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/21/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005734401 TO: Department of Enforcement NASD RE: Daniel Stephan Flitt, Respondent Limited Representative-Investment Company and Variable Contracts Products CRD No. 2965169 Pursuant to Rule 9216 of NASD Code of Procedure, Daniel Stephan Flitt (Flitt) submits 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
Reference 2006005734401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2965169 |
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