MAX MOREHOUSE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MAX MOREHOUSE (CRD No. 5289368), Respondent. Disciplinary Proceeding No. 2007010607601 DEFAULT DECISION Hearing Officer - SNB July 16, 2008 For conversion of funds, in violation of Rule 2110, Respondent is barred from associating with any FINRA member in any capacity. Appearances Samuel Barkin, Esq., Jericho, NY, for the Department of Enforcement. No appearances by Respondent. Decision I.
02/29/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MAX MOREHOUSE (CRD No. 5289368) Respondent. DISCIPLINARY PROCEEDING No. 2007010607601 COMPLAINT The Department of Enforcement alleges: Jurisdiction 1. On February 16, 2007, Respondent Max Morehouse became registered through FINRA member firm Chase Investment Services Corp. (CRD #25574)("CISC") as an Investment Company and Variable Contracts Products Representative. 2. Morehouse remained continuously
Reference 2007010607601data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5289368

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