DAN ROBERT DEL FIUM
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/25/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050032 TO: Department of Enforcement NASD RE: Dan Robert Del Fium. Respondent General Securities Representative CRD No. 4173034 Pursuant to Rule 9216 of NASD Code of Procedure, I, Dan Robert Del Fium ("Del Fium"), 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
Reference C02050032data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4173034 |
Other names1
Also known as1
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