DONALD C. MARTIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/06/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005699201 TO: Department of Enforcement NASD RE: Donald C. Martin, Respondent General Securities Principal and General Securities Representative [CRD No. 321125] Pursuant to Rule 9216 of NASD Code of Procedure, Donald C. Martin 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
Reference 2006005699201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 321125 |
Other names1
Also known as1
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