Craig M. Gould

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041541402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Craig M. Gould, Respondent General Securities Principal CRD No. 2367293 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Craig M. Gould submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2014041541402data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041530301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Craig M. Gould, Respondent Registered Representative CRD No. 2367293 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Craig M. Gould (''Gould") submit this Letter of Acceptance Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2014041530301data-portal.finra.org finra.org

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