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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2019062003101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062003101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Norman Stanley Batansky General Securities Representative CRD No. 834388 Pursuant to FINRA Rule 9216, Respondent Norman Stanley Batansky submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Norman Stanley Batansky
10/23/2020