STEVEN LAWRENCE SCHLESINGER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/25/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050003239-02 TO: Market Regulation Department NASD RE: Steven Lawrence Schlesinger (CRD No. 502499) Pursuant to Rule 9216 of NASD Code of Procedure, Steven Lawrence Schlesinger ("Schlesinger" or "Respondent"), submits 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
Reference 2005000323902data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 502499 |
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