MICHAEL D. SHAW

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022963601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael D. Shaw, Respondent General Securities Representative [CRD No. 1571907] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michael D. Shaw, submit 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 2010022963601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1571907

Other names1

Also known as1

MICHAEL DANIEL SHAW

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.