ELLEN LOZINSKI

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/07/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003892001 TO: Department of Enforcement NASD RE: Ellen Lozinski General Securities Principal [CRD No. 2372418] Pursuant to Rule 9216 of NASD Code of Procedure, Ellen Lozinski ("Respondent") submits 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
Reference 2006003892001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/19/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000631601 TO: Department of Enforcement NASD RE: PGP Financial, Inc. [BD No. 21617] Ellen Lozinski General Securities Principal [CRD No. 2372418] Pursuant to Rule 9216 of NASD Code of Procedure, PGP Financial, Inc. ("PGP") and Ellen Lozinski ("Lozinski") (collectively, "Respondents") 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
Reference 2005000631601data-portal.finra.org finra.org

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