HOWARD S. BERNSTEIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072004077401 TO: Department of Enforcement NASD RE: Howard S. Bernstein, Respondent Investment Company & Variable Contracts Products Representative [CRD No. 1636604] Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring
Reference E072004077401data-portal.finra.orgfinra.org
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