JOHN STUART HUDNALL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. John S. Hudnall (CRD No. 4200298), Respondent. DISCIPLINARY PROCEEDING No. 2013036412601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between May 2012 and July 2014, while registered with FINRA member firms BancWest Investment Services, Inc. ("BancWest") and U.S. Bancorp Investments, Inc. ("U.S. Bancorp"), Respondent John S. Hudnall (1) participated in an undisclosed and
11/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, v. JOHN S. HUDNALL (CRD No. 4200298), Respondent. DISCIPLINARY PROCEEDING Complainant, No. 2013036412601 HEARING OFFICER RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 15, 2016 INTRODUCTION Disciplinary Proceeding No. 2013036412601 was filed on May 2, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent John S. Hudnall submitted an Offer of
Reference 2013036412601data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4200298 |
Other names1
Also known as1
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