DICK P WOLLMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/17/2017: FINANCIAL BDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053943601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dick P. Wollman, Respondent General Securities Representative CRD No. 4593793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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
Reference 2017053943601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4593793

Other names1

Also known as1

DICK P. WOLLMAN

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