JOSEPH SCOTT SCHAFFER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jonah Engler (CRD No. 4216259), Brett Ian Friedberg (CRD No. 5012184), Jonathan Michael Sheklow (CRD No. 4906207), Joshua William Turney (CRD No. 4510219), Hector Perez, a/k/a Bruce Johnson (CRD No. 5431109), and Joseph Scott Schaffer (CRD No. 5114065), Respondents. DISCIPLINARY PROCEEDING No. 2010024522103. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2009
11/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jonah Engler (CRD No. 4216259), Brett Ian Friedberg (CRD No. 5012184), Jonathan Michael Sheklow (CRD No. 4906207), Joshua William Turney (CRD No. 4510219), Hector Perez, a/k/a Bruce Johnson (CRD No. 5431109), and Joseph Scott Schaffer (CRD No. 5114065), Respondents. DISCIPLINARY PROCEEDING No. 2010024522103 Hearing Officer - DS. ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 13,2014
Reference 2010024522103data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5114065

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