RICHARD ALBERT MAHLER JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20120326023-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Richard Albert Mahler, Jr., Respondent CRD No. 2258721 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Richard Albert Mahler, Jr. ("Mahler" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC:) for the purpose of proposing a settlement of the alleged rule violations
Reference 2012032602301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2258721 |
Other names1
Also known as1
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