HEATHER FURGASON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/15/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v.Heather Furgason, (CRD No. 4241326) Respondent. Disciplinary Proceeding No. C8A050054 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Heather Furgason was associated with Banc One Securities, Inc., a member of NASD, from December 2002 until December 2003. As a result, pursuant to Article V, Section 4 of
11/23/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. HEATHER FURGASON (CRD No. 4241326), Respondent. Disciplinary Proceeding No. C8A050054 Hearing Officer - AWH DEFAULT DECISION November 23, 2005 Formerly registered representative misused funds in customer accounts, in violation of NASD Conduct Rules 2330 and 2110. Respondent is barred from associating with any member firm in any capacity for the violation.
Reference C8A050054data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4241326 |
Other names1
Also known as1
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