SCOTT EARL SHUMATE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026101501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scott Shumate CRD No. 1304562 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scott Shumate ("Shumate" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2011026101501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1304562

Other names1

Also known as1

SCOTT SHUMATE

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