FINRA Disciplinary Actions Online

Displaying 1 - 1 of 1
Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2018059313701 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059313701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Philip Nalesnik, Respondent Former Registered Representative CRD No. 4561380 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Philip Nalesnik ("Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Philip Nalesnik
Action Date 05/17/2019