LONNIE R. SHUPAK

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/16/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006141401 TO: Department of Enforcement NASD RE: Lonnie R. Shupak Respondent CRD No. 4444418 Pursuant to Rule 9216 of the NASD Code of Procedure, Lonnie R. Shupak ("Shupak") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging
Reference 2006006141401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4444418

Other names1

Also known as1

LONNIE RICHARD SHUPAK

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