WARREN C. BUTERBAUGH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Warren C. Buterbaugh (CRD No. 1096581) Respondent. DISCIPLINARY PROCEEDING No. 2012034294301 Hearing Officer - DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 30, 2015 INTRODUCTION Disciplinary Proceeding No. 2012034294301 was filed on September 12, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Warren C. Buterbaugh
09/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Warren C. Buterbaugh (CRD No. 1096581), Respondent. DISCIPLINARY PROCEEDING No. 2012034294301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On December 27, 2011, Respondent Warren C. Buterbaugh (“Buterbaugh") met with an elderly customer EJ at her home. EJ recently lost a close friend who was the primary beneficiary on her Prudential variable annuity and because of her
Reference 2012034294301data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1096581

Other names1

Also known as1

WARREN CARL BUTERBAUGH

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