ROYCE JOSEPH RAYMOND

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/27/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050009640 TO: Department of Enforcement NASD RE: Royce Raymond Registered Representative CRD No. 1574917 Pursuant to Rule 9216 of NASD Code of Procedure, I, Royce Raymond, submit 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 actions
Reference 2005000964002data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1574917

Other names1

Also known as1

ROYCE RAYMOND

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