DAVID MELVILLE BERKOWITZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060057634 TO: Department of Enforcement NASD RE: David Melville Berkowitz, Respondent Registered Options Principal General Securities Representative General Securities Principal CRD No. 19495 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 violations described in Part II below. This AWC is submitted on the condition that, if
Reference 2006005763401finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 19495 |
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