ALAN R. PETERSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/16/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000364201 TO: Department of Enforcement NASD RE: Alan R. Peterson CRD No. 1315018 Pursuant to Rule 9216 of NASD Code of Procedure, I 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 against me alleging violations based on the same factual findings.
Reference 2005000364201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1315018

Other names1

Also known as1

ALAN REINHOLD PETERSON, JR

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.