FRANK COLLINS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/09/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0220030854-02 TO: Department of Enforcement NASD RE: Frank Collins, Respondent General Securities Principal CRD No. 1942411 Pursuant to Rule 9216 of NASD Code of Procedure, I, Frank Collins ("Collins"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions
Reference E022003085402finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1942411 |
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