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Arnold J. Feist

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015047770302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arnold J. Feist (Respondent) Former General Securities Representative, General Securities Principal, General Securities Sales Supervisor, and Compliance Officer CRD No. 1296808 Pursuant to FINRA Rule 9216, Respondent Arnold J. Feist submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2015047770302data-portal.finra.orgfinra.org

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