MARK FRANCIS HARPER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/02/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARK HARPER (CRD No. 4148035), Respondent. Disciplinary Proceeding No.2007011333401 Hearing Officer-LBB DEFAULT DECISION March 2, 2010 Respondent Mark Harper is barred from associating with any FINRA member firm for unsuitable mutual fund switching, in violation of NASD Conduct Rules 2310 and 2110, and IM-2310-2. Respondent
06/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mark Harper ("Harper") Registered Representative CRD #4148035 Respondents. DISCIPLINARY PROCEEDING No.2007011333401 COMPLAINT The Department of Enforcement alleges: RESPONDENTS AND JURISDICTION 1. (Name) has been a registered broker-dealer with FINRA since 1983. Based on (Name) current registration, it is subject to
Reference 2007011333401data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4148035 |
Other names1
Also known as1
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