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DANIEL LEVIN

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Milkie Ferguson Investments, Inc. (CRD No. 17606), Edward Milkie (CRD No. 871257), Manny Aizen (CRD No. 1676247), Daniel Levin (CRD No. 707280), and Scott Schroeder (CRD No. 2277248), Respondents. Disciplinary Proceeding No. 2009016271801 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT AS TO RESPONDENT LEVIN

    09/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, Milkie Ferguson Investments, Inc. (CRD No. 17606), Daniel Levin (CRD No. 707280), and Respondents. DISCIPLINARY PROCEEDING No. 2009016271801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This case involves serious failures by Milkie Ferguson Investments, Inc. ("Milkie Ferguson") and two of its principals to

    Reference 2009016271801data-portal.finra.orgfinra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040335101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel Levin, Respondent General Securities Representative CRD No. 707280 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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,

    Reference 2014040335101data-portal.finra.orgfinra.org

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