JOHN WILLIAM CUTSHALL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John W. Cutshall (CRD No. 874352), Respondent. DISCIPLINARY PROCEEDING NO. 2014041590801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between 2012 and 2014 (the "Relevant Period"), General Securities Representative John Cutshall abused his position as trustee
04/11/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John W. Cutshall (CRD No. 874352), Respondent. DISCIPLINARY PROCEEDING No. 2014041590801 HEARING OFFICER: DW ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2014041590801 was filed on August 10, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2014041590801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 874352 |
Other names1
Also known as1
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