SAMUEL DELSHAUL SHOEMAKER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SAMUEL DELSHAUL SHOEMAKER (CRD No. 4932603), Respondent. Disciplinary Proceeding No. 2011030666301 Hearing Officer - MC DEFAULT DECISION October 1, 2013 For fraudulently misappropriating customer funds, in violation of FINRA Rule 2010, and completely failing to provide information and testimony, in violation of FINRA Rules 8210 and 2010, Respondent Samuel Delshaul Shoemaker is barred from
04/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Samuel Delshaul Shoemaker (CRD No. 4932603), Respondent. Disciplinary Proceeding No. 2011030666301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2011 and November 2011, Samuel Delshaul Shoemaker ("Shoemaker") while employed as a Personal Banker with JPMorgan Chase Bank (the "Bank"), an affiliate of Chase Investment Services Corp ("Chase" or the "Firm"), misappropriated
Reference 2011030666301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4932603 |
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