DAVID CHARLES KAUFFMAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID CHARLES KAUFFMAN (CRD No. 2365373), Respondent. Disciplinary Proceeding No. 2010024315801 Hearing Officer - David R. Sonnenberg DEFAULT DECISION August 13, 2013 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information, documents, and testimony in violation of FINRA Rules 8210 and 2010. Appearances For the Department of Enforcement,
Reference 2010024315801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2365373 |
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