DONALD S. HUFFMAN

01/03/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DONALD S. HUFFMAN (CRD No. 4449502), Respondent. Disciplinary Proceeding No. E8A2004067501 Hearing Officer-Andrew H. Perkins DEFAULT DECISION January 3, 2007 Respondent misused customers' funds and issued a false proof of insurance document, in violation of NASD Conduct Rule 2130. The Respondent is barred from association with any member firm in any capacity for each violation. Appearances Richard S. Schultz, Regional Counsel,

02/06/2006: NASD REGULATION, INC. OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. DONALD S. HUFFMAN Limited Registered Representative (CRD No. 4449502) Respondent Disciplinary Proceeding No. E8A2004067501 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. From on or about September 17, 2001 to on or about June 4, 2004, Donald S. Huffman ("Respondent Huffman") was registered as an Investment Company and Variable Contracts Products Representative with Farmers'

Reference E8A2004067501data-portal.finra.orgdata-portal.finra.orgfinra.org