SCOTT P. HALPERIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Scott P. Hailperin (a/k/a Scott P. Halperin) (CRD No. 1421253), Respondent. DISCIPLINARY PROCEEDING NO. 2006005161001 HEARING OFFICER - SW ORDER ACCEPTING OFFER OF SETTLEMENT DATE: APRIL 21, 2008 INTRODUCTION Disciplinary Proceeding No. 2006005161001 was filed on November 27, 2007 by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA" or "Complainant").
11/27/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Scott P. Hailperin (a/k/a Scott P. Halperin) (CRD No. 1421253), Respondent. DISCIPLINARY PROCEEDING No. : 2006006161001 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: 1. Respondent Scott P. Hailperin (a/k/a Scott P. Halperin) ("Hailperin") became registered with FINRA (f/k/a NASD) as a Limited Representative - Investment Company and Variable Contracts Products (Series 6) on
Reference 2006005161001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1421253 |
Other names1
Also known as1
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