DOUGLAS D. PFAFF

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000532601 TO: Department of Enforcement NASD RE: Douglas D. Pfaff, Respondent General Securities Principal 1315669 Pursuant to Rule 9216 of NASD Code of Procedure, I Douglas D. Pfaff, submit 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 is submitted on the condition that, if accepted, NASD will not bring any future actions against me
Reference 2005000532601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1315669

Other names1

Also known as1

DOUGLAS DONOVAN PFAFF

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