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DEREK R. PINES

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

    12/08/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000291-02 TO: Department of Market Regulation NASD RE: Derek R. Pines, Respondent CRD No. 4428120 Pursuant to Rule 9216 of the NASD Code of Procedure, I, Derek R. Pines ("I" or "Pines"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2005000029102data-portal.finra.orgfinra.org

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