STEPHAN "SKIP" BORUCHIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/17/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000879301 TO: Department of Enforcement NASD RE: Stephan "Skip" Boruchin, Respondent General Securities Representative, General Securities Principal, Financial and Operations Principal CRD No. 1201115 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Stephan "Skip" Boruchin submits 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
Reference 2005000879301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1201115

Other names1

Also known as1

STEPHAN PETER BORUCHIN

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.