HUGH EARL CATING
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. HUGH EARL CATING (CRD No. 2240164), Respondent. Disciplinary Proceeding No. 2008013438301 Hearing Officer - MC DEFAULT DECISION October 14,2009 For violations of Conduct Rule 2110 and Procedural Rule 8210, Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for
Reference 2008013438301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2240164 |
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.