RAY W. HAGER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/05/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060057354-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ray W. Hager CRD No. 2802640 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit 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, FINRA will not bring any future
Reference 2006005735401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2802640

Other names1

Also known as1

RAY WESLEY HAGER

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