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CHARLES BRADLEY HINTZ

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

    02/08/2006: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000293901 TO: Department of Enforcement NASD RE: Sanford C. Bernstein & Co., LLC, Respondent, CRD No. 104474 Charles Bradley "Brad" Hintz, Respondent, CRD No. 1590170 Pursuant to Rule 9216 of NASD Code of Procedure, Respondents Sanford C. Bernstein & Co. LLC ("Sanford Bernstein" or the "firm") and Charles Bradley "Brad" Hintz ("Hintz") (collectively the "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2005000293901data-portal.finra.orgfinra.org

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