HERSHEL F. SMITH JR.

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072003004201 TO: NASD Department of Enforcement RE: Cardinal Capital Management, Inc. CRD No. 24605 Hershel F. Smith, Jr., Registered Principal CRD No. 427817 Christopher A. Sweeney. Registered Principal CRD No. 823375 Pursuant to Rule 9216 of the NASD Code of Procedure, Cardinal Capital Management, Inc. ("CCM"), Hershel f. Smith, Jr., and Christopher A. Sweeney (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent
Reference E072003004201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	427817

Other names1

Also known as1

HERSHEL FRANCIS SMITH, JR

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