OTTO K. VAUGHAN JR.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/23/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Otto K. Vaughan, CRD No. 453757 Respondent. Disciplinary Proceeding No. E3A2003052101 Hearing Officer RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 23, 2006 INTRODUCTION Disciplinary Proceeding No. E3A2003052101 was filed on August 24, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Otto K. Vaughan ("Vaughan") submitted an Offer of Settlement ("Offer") to Complainant on March 3, 2006. Pursuant to Code
Reference E3A2003052101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/24/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Otto K. Vaughan Jr., CRD No. 453757 Respondent. Disciplinary Proceeding No. E3A2003052101 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent, Otto K. Vaughan ("Vaughan") first became registered with the NASD in April 1985. Vaughan was later registered as a General Securities Principal with Multi-Financial Securities Corporation ("MFS"), a member of NASD, from June 28, 1988 until
Reference E3A2003052101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	453757

Other names2

Also known as2

OTTO KEITH VAUGHAN, JROTTO K. VAUGHAN

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