DAVID RANDOLPH HAASE

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028452902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Randolph Haase General Securities Representative CRD No. 2534907 Pursuant to FINRA Rule 9216 ofFINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement ofthe alleged rule violations described below. This AWC is submitted on the condition
Reference 2011028452902data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/24/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039865701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Randolph Haase General Securities Representative CRD No. 2534907 Pursuant to FINRA Rule 9216 of FINRA's 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 below. This AWC is submitted on the
Reference 2014039865701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2534907

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.