CHARLES LAWRENCE DORAINE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/01/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002388201 TO Department of Enforcement NASD RE: Charles Lawrence Doraine, Respondent General Securities Representative CRD No. 70411 Pursuant to Rule 9216 of NASD Code of Procedure, Charles Lawrence Doraine (Respondent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part Il below. This AWC is submitted on the condition that, if accepted,
Reference 2005002388201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 70411 |
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