NEIL S FINEMAN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038530901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Neil S. Fineman, Respondent Registered Representative CRD No. 2225170 Pursuant to FINRA 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 2013038530901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050054501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Neil S. Fineman, Respondent Former Registered Representative CRD No. 2225170 Pursuant to FINRA 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
Reference 2016050054501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2225170

Other names1

Also known as1

Neil S. Fineman

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