PAUL R. HUNT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/31/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Paul R. Hunt CRD No. 4304579 Respondent. Disciplinary Proceeding No. 2005000308801 Hearing Officer: COMPLAINT Upon information and belief. Complainant alleges as follows: 1. Respondent Hunt was registered with NASD member Edward Jones as a general securities representative from February 13, 2001 until November 18, 2004. His employment end date with Edward
10/17/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Paul R. Hunt CRD No. 4304579 Respondent. Disciplinary Proceeding No. 2005000308802 Hearing Officer: AWH ORDER ACCCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2005000308801 was filed on August 31, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Hunt submitted an Offer of Settlement ("Offer") to Complainant
Reference 2005000308802data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4304579 |
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