DANIEL NAY II
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/13/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005034801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel Nay II, Respondent Investment Company Products/Variable Contracts Representative CRD No. 1880466 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Daniel Nay II, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2006005034801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1880466 |
Other names1
Also known as1
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