PAUL HOWARD HUGHES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ##E3B20040207 TO: Department of Enforcement NASD RE: Paul Howard Hughes, Respondent General Securities Representative CRD No. 252636 Pursuant to Rule 9216 of NASD 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 in Part II below, This AWC is submitted on the condition that
Reference E3B2004020701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 252636 |
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