BRENT AARON VOLSTAD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRENT AARON VOLSTAD (CRD No. 5438976), Respondent. Disciplinary Proceeding No. 2010025730302 Hearing Officer-Andrew H. Perkins DEFAULT DECISION July 25, 2012 Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to FINRA's requests for information and documents, in violation of Rules 8210 and 2010. In light of the bar imposed for this violation, no
Reference 2010025730302data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5438976 |
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