PAUL ROGER BURGESON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C04050010 To: Department of Enforcement NASD Re: Paul Roger Burgeson General Securities Representative (CRD No, 35538) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Paul Roger Burgeson, submit 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
Reference C04050010data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 35538 |
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