CHRISTOPHER SHAWN VAUGHN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Shawn Vaughn, CRD No. 4956822, Respondent. Disciplinary Proceeding No. 2011028581201 Hearing Officer SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 23, 2013 INTRODUCTION Disciplinary Proceeding No. 2011028581201 was filed on June 13, 2013 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent submitted an Offer
06/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Shawn Vaughn (CRD No. 4956822), Respondent. DISCIPLINARY PROCEEDING NO. 2011028581201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between October 2010 and June 2011 (the Relevant Period), former registered representative Christopher Shawn Vaughn (Respondent), engaged in a scheme to convert
Reference 2011028581201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4956822 |
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