LELAND A. DYKES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006804301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Leland A. Dykes, Respondent General Securities Principal CRD No. 2230072 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Leland A. Dykes ("Dykes" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2006006804301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2230072

Other names1

Also known as1

LELAND ALAN DYKES

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.