JOHN F MANGAN, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/21/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050002450-02 TO: Department of Market Regulation NASD RE: John F. Mangan, Jr., CRD No. 1255558 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions
Reference 2005000245002data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1255558 |
Other names1
Also known as1
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