BRUCE ALLAN HAGER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/11/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0420040447-01 To: Department of Enforcement NASD Re: Bruce Allan Hager General Securities Principal (CRD No. 1358936) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Bruce Allan Hager (Hager), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the
Reference E042004044701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1358936 |
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