MICHAEL JEFFERSON HARPER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL JEFFERSON HARPER (CRD No. 4650612), Respondent. Disciplinary Proceeding No. 2009018908402 Hearing Officer - RSH DEFAULT DECISION August 9, 2011 For failing to respond in a timely manner to requests for information, and for failing to appear to testify, in violation of Rules 8210 and 2010, the Respondent was barred from associating with any FINRA registered firm in any capacity.
Reference 2009018908402data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4650612 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.