CRAIG A. ROTHFELD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOS. 20110265470 and 20110290013 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WJB Capital Group, Inc., CRD No. 37334 Craig A. Rothfeld, CRD No. 2528055 Gregory S. Maleski, CRD No. 4499978 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WJB Capital Group, Inc. ("WJB"), Craig A. Rothfeld and Gregory S. Maleski (collectively, "Respondents") submit this Letter of Acceptance,
Reference 2011026547001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2528055

Other names1

Also known as1

CRAIG ADAM ROTHFELD

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