ANDREW LEWIS PITTMAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029315301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Andrew Lewis Pittman, Respondent CRD No. 732632 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Andrew Lewis Pittman submit 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
Reference 2011029315301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 732632 |
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