DONALD E. SMALLWOOD JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013206901 TO: Department of Enforcement Financial Industry Regulatory Authority ('"FINRA") RE: Donald E. Smallwood, Jr., Respondent Investment Company and Variable Contracts Products Representative CRD No. 2154135 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2008013206901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2154135 |
Other names1
Also known as1
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