ARTHUR STEWART HOFFMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/13/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066342101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arthur Hoffman, Respondent CRD No. 3193754 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Arthur Hoffman submits this Letter of Acceptance, Waiver and Consent (A WC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020066342101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3193754

Other names1

Also known as1

Arthur Hoffman

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