SEAN M. WALTERS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/28/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008948201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sean M. Walters, Respondent General Securities Representative CRD No. 2959663 Pursuant to NASD Rule 9216 of FINRA's 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
Reference 2007008948201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2959663

Other names1

Also known as1

SEAN MICHAEL WALTERS

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