THOMAS MARTIN NOCKOLD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050018 TO: Department of Enforcement NASD RE: Thomas Martin Nockold, Respondent General Securities Principal CRD No. 3257874 Pursuant to Rule 9216 of NASD Code of Procedure, I, Thomas Martin Nockold ("Nockold"), 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 C02050018data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3257874 |
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