JOHN W. DUBRULE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/03/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen D. Pizzuti (CRD No. 1461660), John W. DuBrule (CRD No. 1223724), and Kevin A. Tuttle (CRD No. 2414158), Respondents. DISCIPLINARY PROCEEDING No. 2011027666902 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2008 through January 2013, ("" or the "Firm") failed to detect and prevent widespread misconduct by its staff, registered representatives, supervisors, and the
05/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MERRIMAC CORPORATE SECURITIES, INC. (CRD No. 35463), STEPHEN D. PIZZUTI (CRD No. 1461660), ROBERT G. NASH (CRD No. 718820), DAVID W. MATTHEWS, JR. (CRD No. 323097), JOHN W. DuBRULE (CRD No. 1223724), AND KEVIN A. TUTTLE (CRD No. 2414158), RESPONDENTS. Disciplinary Proceeding No. 201127666902 Hearing Officer MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 9, 2014 INTRODUCTION Disciplinary
Reference 2011027666902data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1223724

Other names1

Also known as1

JOHN WARREN DUBRULE

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