SAMUEL DAVIS HUGHES
Regulator actionUnited 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. SAMUEL DAVIS HUGHES (CRD No. 1928041) Respondent. Disciplinary Proceeding No. C07040067 Hearing Officer - AWH DEFAULT DECISION February 11,2005 Formerly registered representative (1) recommended unsuitable variable annuity switches and an unsuitable variable annuity purchase, in violation of NASD Conduct Rules 2310 and 2110; (2) misled a customer by making
Reference C07040067data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1928041 |
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