THOMAS G. KARIDAS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/24/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002180701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas G. Karidas, Respondent Foreign Associate CRD No. 1568680 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Thomas G. Karidas, submit 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
Reference 2005002180701finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1568680

Other names1

Also known as1

THOMAS GEORGE KARIDAS

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