BRUCE M. HARADA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032670901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bruce M. Harada General Securities Representative CRD No. 2324524 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Bruce M. Harada, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a
Reference 2012032670901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2324524

Other names1

Also known as1

BRUCE MARTIN HARADA

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