RICHARD L. MACDUFF

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/24/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. RICHARD L. MACDUFF Registered Representative, (CRD No. 4306223) Respondent. Disciplinary Proceeding No.2005000920402 Hearing Officer Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 24, 2006 INTRODUCTION Disciplinary Proceeding No. 2005000920402 was filed on December 30, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Richard L. MacDuff submitted an Offer of Settlement ("Offer") to
Reference 2005000920402finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4306223

Other names1

Also known as1

RICHARD LAWRENCE MACDUFF

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