QUAY A. PUND

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/17/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011448201 To: Department of Enforcement Financial Industry Regulatory Authority Re: Quay A. Pund Associated Person CRD No. 4202236 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, I, Quay A. Pund (Pund), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations
Reference 2007011448201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4202236

Other names1

Also known as1

QUAY ALLISON PUND

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