ALAN E. BARTHOLEMY JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050034152-01 TO: Department of Enforcement NASD RE: Alan E. Bartholemv. Jr.. Respondent General Securities Representative CRD No. 3122838 Pursuant to Rule 9216 of NASD Code of Procedure, I, Alan E. Bartholemy, Jr. ("Bartholemy"), submit 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.
Reference 2005003415201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3122838 |
Other names1
Also known as1
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