HILARY L SHANE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/18/2005: NASD OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant v. HILARY L. SHANE (CRD No. 3210308) Respondent. DISCIPLINARY PROCEEDING NO. CMS040208 HEARING OFFICER: ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. CMS040208 was filed on December 21, 2004, by the Department of Market Regulation of NASD ("Complainant"). Respondent Hilary L. Shane submitted an Offer of Settlement ("Offer") to Complainant on April 28, 2005.
Reference CMS040208data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3210308

Other names1

Also known as1

HILARY L. SHANE

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