Person
Screen this subjectMary Beth Fisher Spuhler
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/21/2025: Spuhler refused to provide information and documents requested by FINRA pursuant to FINRA Rule 8210. As a result, Spuhler violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2024083415401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1195301 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.