MICHAEL SLUSHER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/12/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Slusher, (CRD No. 5175006), Respondent. Disciplinary Proceeding No. 2007009836601 Hearing Officer - Alan W. Heifetz ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 12, 2008 INTRODUCTION Disciplinary Proceeding No. 2007009836601 was filed on August 27, 2008 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Michael Slusher
08/27/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. MICHAEL SLUSHER (CRD No. 5175006), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2007009836601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Michael Slusher misappropriated $4,000 from the account of a bank customer. Slusher also failed to respond to two written requests for information issued by FINRA staff. This conduct violated NASD Procedural Rule 8210 and NASD Conduct Rule
Reference 2007009836601data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5175006 |
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