GREEN MANNING & BUNCH LTD.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/19/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007504001 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Green Manning & Bunch, Ltd., Respondent CRD No. 35120 Pursuant to Rule 9216 of FINRA Code of Procedure, Respondent, Green, Manning & Bunch, Ltd. (''GMB") submits 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
Reference 2007007504001data-portal.finra.orgfinra.org
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