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FINRA Disciplinary Actions Online

Displaying 1 - 1 of 1
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2018060875701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060875701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stuart Blake Nichols, Respondent General Securities Representative CRD No. 4932310 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stuart Blake Nichols submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations AWCs (Letters of Acceptance, Waiver, and Consent)
Stuart Blake Nichols
10/25/2019