CARL MCCASKILL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/12/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CARL McCASKILL (CRD No. 1345072), Respondent. Disciplinary Proceeding No. 20070094178 DEFAULT DECISION Hearing Officer-SW Date: August 12, 2008 Respondent is barred from associating with any FINRA member firm in any capacity for (i) violating NASD Conduct Rules 2370 and 2110 by borrowing customer funds in breach of his employer's policies and procedures, and (ii) violating NASD Procedural Rule 8210
Reference 2007009417801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1345072 |
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