DAVID J. SHAW

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/11/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID J. SHAW, CRD No. 1003961 Respondent. Disciplinary Proceeding No. C8A040121 Hearing Officer - SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 11, 2005 INTRODUCTION Disciplinary Proceeding No. C8A040121 was filed on December 22, 2004, by the Department of Enforcement of NASD ("Complainant"). Respondent David J. Shaw submitted an Offer of
Reference C8A040121finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1003961

Other names1

Also known as1

DAVID JOSEPH SHAW

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