DONALD EDWARD ROUGHAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Donald Edward Roughan, CRD No. 2246466, Respondent. Disciplinary Proceeding No.2007011816801 Hearing Officer: AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 28, 2013 INTRODUCTION Disciplinary Proceeding No. 2007011816801 was filed on June 23, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2007011816801finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2246466 |
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