SONJA RUDD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/03/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, V. SONJA RUDD (CRD 2683330) Respondent. DISCIPLINARY PROCEEDING No. CMS040224 HEARING OFFICER: COMPLAINT Upon information and belief, the Department of Market Regulation alleges as follows: Summary of the Case 1. While registered at member firm Edward D. Jones & Co., L.P. ("Edward Jones"), Respondent Sonja Rudd circulated false and misleading investment opinions and research reports, which included fraudulent and
02/23/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. SONJA RUDD (CRD No. 2683330), Respondent. DISCIPLINARY PROCEEDING No. CMS040224 HEARING OFFICER; HEIFETZ February 23, 2005 ORDER ACCEPTING OFFER OF SETTLEMENT The Department of Market Regulation ("Complainant") filed Disciplinary Proceeding No. CMS040224 on January 3, 2005. Respondent Sonja Rudd ("Respondent" or "Rudd") submitted an Offer of Settlement ("Offer") on February 1, 2005. Under Code of Procedure
Reference CMS040224data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2683330

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