ALAN S. PATTEE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2010023232101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") KB: Alan S. Puttee, Respondent Investment Company and Variable Contracts Products Representative [CRD No. 3002976] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alan S. Pattee, submits this Letter of Acceptance, Waiver and Consent ("AWC) for the purpose of proposing a settlement of the alleged rule violations
Reference 2010023232101finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3002976

Other names1

Also known as1

ALAN STUART PATTEE

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