BARRY A. KAUFMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/04/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. BARRY A. KAUFMAN (CRD No. 2774898) Respondent. Disciplinary Proceeding No. CAF030061 Hearing Officer - DMF DEFAULT DECISION January 4, 2005 Respondent effected unauthorized trades in customer accounts, in violation of NASD Rule 2110, and failed to execute customer orders, in violation of Rule 2110. For the unauthorized trades, he is barred from associating with any NASD member in any capacity and ordered to pay restitution to two
Reference CAF030061finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2774898

Other names1

Also known as1

BARRY ALAN KAUFMAN

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