LEE ALEXANDER GOLD

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/04/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060067191-01TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lee Alexander Gold, Respondent General Securities Representative CRD No. 1923251 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Lee Alexander Gold ("Respondent" or "Gold"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the
Reference 2006006719101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028964203 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lee Alexander Gold, Respondent General Securities Principal CRD No. 1923251 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lee Alexander Gold ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below
Reference 2011028964203data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1923251

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