JOHN PAUL SCHAFFER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/23/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001551401 TO: Department of Enforcement NASD RE: John Paul Schaffer, Respondent CRD No. 2139493 Pursuant to Rule 9216 of NASD Code of Procedure, John Paul Schaffer ("Schaffer*) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in
Reference 2005001551401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2139493 |
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