MAXWELL SIMON INC.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039173701 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Maxwell Simon, Inc. ("Maxwell Simon"), Respondent CRD No. 12667 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Maxwell Simon submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement
Reference 2014039173701data-portal.finra.orgfinra.org
Other names1
Also known as1
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