DAVID CHRISTIAN HAAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/31/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID CHRISTIAN HAAS (CRD No. 2513907), Respondent. Disciplinary Proceeding No. 2007009422501 Hearing Officer -SNB DEFAULT DECISION March 31, 2009 Respondent is barred from associating with any member firm in any capacity for participating in outside business activities without providing his firm written notice of those activities, in violation of Rules 3030 and 2110, for falsifying correspondence
Reference 2007009422501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2513907 |
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.