Scott Alan Kaufman
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063886401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Alan Kaufman (Respondent) Former General Securities Representative CRD No. 2047445 Pursuant to FINRA Rule 9216, Respondent Scott Alan Kaufman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063886401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2047445 |
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