CINDY MICHELE SCHWARTZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005546004 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cindy Schwartz, Respondent CRD No. 4649760 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA
Reference 2006005546004data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4649760

Other names1

Also known as1

CINDY SCHWARTZ

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