RONALD VAUGHN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. RONALD VAUGHN (CRD No. 453836), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2006004213401 COMPLAINT The Department of Enforcement alleges: 1. Respondent Ronald Vaughn first became registered with NASD as a General Securities Representative in 1973. From on or about August 1, 1982, through on or about January 31, 2006, Vaughn was registered with member firm Cadaret, Grant & Co. (Cadaret Grant).
04/20/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RONALD VAUGHN (CRD No. 453836), Respondent. Disciplinary Proceeding No. 2006004213401 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 20, 2007 Respondent is barred from associating with any member firm for: (1) misappropriating customer funds, in violation of Conduct Rule 2110; (2) forgery of a customer's check, in violation of Conduct Rule 2110; (3) failure to appear for his on-the-record interview, in violation
Reference 2006004213401data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	453836

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