DOUGLAS A. RAUH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/09/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. DOUGLAS A. RAUH (CRD No. 1465225), Respondent. Disciplinary Proceeding No. C02040044 Hearing Officer-RSH Hearing Panel Decision November 9, 2005 Respondent was fined $118,495 and barred from associating with any member firm in any capacity for willfully failing to disclose material information on a Form U-4, in violation of Conduct Rule 2110 and IM-1000; exercising discretion without prior written authority in two clients' accounts,
Reference C02040044data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1465225

Other names1

Also known as1

DOUGLAS ALAN RAUH

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