MONICA B. YATES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005593501 TO: Department of Enforcement NASD RE: Monica B. Yates, Respondent General Securities Representative CRD No. 1999021 Pursuant to Rule 9216 of the NASD Code of Procedure, Monica B. Yates ("Yates") 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 accepted, NASD will not bring any future
Reference 2006005593501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1999021

Other names1

Also known as1

MONICA BLAIR YATES

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.