DUANE EDWARD O'NEAL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080125791 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Duane Edward O'Neal, Respondent Former Registered Representative CRD No. 2357535 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 2008012579101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2357535 |
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.