ROBERT D HOVERMALE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/21/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO 2006006255601 To: Department of Enforcement FINRA Re: Robert D. Hovermale Registered Representative CRD #4385521 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Robert D. Hovermale ("Hovermale" or "Respondent") submits 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 submitted on the condition that, if accepted,
Reference 2006006255601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4385521 |
Other names1
Also known as1
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