VIRGINIA E ALI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/17/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008269901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Virginia E. Ali, Respondent Former Investment Company and Variable Contracts Representative CRD No. 5205635 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Virginia E. Ali, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2007008269901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5205635

Other names1

Also known as1

VIRGINIA E. ALI

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