JOHN JOSEPH VAUGHAN

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS, DEPARTMENT OF MARKET REGULATION, Complainant, v. JOHN JOSEPH VAUGHAN (CRD No. 1495636), Respondent. Disciplinary Proceeding No. 20120318775-01 Hearing Officer-Andrew H. Perkins DEFAULT DECISION June 29, 2015 Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear and provide on-the-record testimony, in violation of FINRA Rules 8210 and 2010.
03/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. John Joseph Vaughan (CRD No. 1495636), Respondent. Disciplinary Proceeding No. 20120318775-01 COMPLAINT The Department of Market Regulation alleges: Summary 1. In connection with an investigation being conducted by the Department of Market Regulation ("Market Regulation"), Respondent John Joseph Vaughan ("Respondent" or "Vaughan") refused to appear and provide testimony as
Reference 2012031877501data-portal.finra.org data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/25/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. John J. Vaughan (CRD No. 1495636), Respondent DISCIPLINARY PROCEEDING No. 2012030373701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent John J. Vaughan, the former Chief Compliance Officer ("CCO") of former member firm HFP Capital Markets LLC (BD No. 44351) ("HFP" or the "Firm") failed to establish, maintain and enforce reasonable supervisory systems and procedure
Reference 2012030373701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN JOSEPH VAUGHAN (CRD No. 1495636), Respondent. Disciplinary Proceeding No. 2012030373701 Hearing Officer - KBW DEFAULT DECISION August 17, 2015 Respondent violated NASD Rule 3010 and FINRA Rule 2010 by failing to establish and maintain an adequate supervisory system for firm-imposed heightened supervision and an adequate supervisory system for review of customer
Reference 2012030373701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1495636

Other names1

Also known as1

JOHN J. VAUGHAN

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.