Jeffery Allen Vaughn
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jeffery Allen Vaughn (CRD No. 2124515), Respondent. DISCIPLINARY PROCEEDING No. 2013037097602 Hearing Officer KW AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Jeffery Allen Vaughn ("Vaughn" or "Respondent") failed to timely respond to FINRA's requests for information and documents made pursuant to FINRA Rule 8210 in violation of FINRA Rules 8210 and 2010.
01/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORNY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. JEFFERY ALLEN VAUGHN (CRD No. 2124515), Respondent. Disciplinary Proceeding No. 2013037097602 Hearing Officer - RES AMENDED HEARING PANEL DECISION January 11, 2017 Respondent willfully failed to amend his Form U4 to disclose tax liens and a state regulatory consent order, caused his Form U4 to report falsely the circumstances of a FINRA suspension, made false and misleading
Reference 2013037097602data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2124515 |
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