DANIEL P. WALKER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/17/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C04050019 To: Department of Enforcement NASD Re: Daniel P. Walker General Securities Representative (CRD No. 1404568) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Daniel P. Walker, submit 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 actions against me
Reference C04050019data-portal.finra.orgfinra.org
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