HUGH ALEXANDER ROSS, SR

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029760101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hugh Alexander Ross, Respondent CRD No. 3130376 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2011029760101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080161544 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hugh A. Ross, Sr., Respondent General Securities Representative CRD No. 3130376 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Hugh A. Ross, Sr., submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2008016154401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3130376

Other names2

Also known as2

HUGH A. ROSS SRHugh Alexander Ross

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