Craig Scott Hartman
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/06/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CRAIG SCOTT HARTMAN (CRD No. 2335606), Respondent. Disciplinary Proceeding No. 2016052604602 Hearing Officer-LOM DEFAULT DECISION November 6, 2018 Respondent failed to timely disclose four federal tax liens on his Form U4. For this misconduct, he would be fined $5,000 and suspended four months.
07/06/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Craig Scott Hartman, CRD No. 2335606, Respondent. DISCIPLINARY PROCEEDING NO. 2016052604602 HEARING OFFICER: COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. During the period of June 22, 2012 through July 27, 2015, Hartman willfully failed to
Reference 2016052604602data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2335606 |
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.