ROBERT M. RACUSEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/12/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004089001 TO: Department of Enforcement NASD RE: Robert M. Racusen Registered Representative CRD No. 1601853 Pursuant to Rule 9216 of NASD Code of Procedure, I 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 alleging violations based on
Reference E8A2004089001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1601853 |
Other names1
Also known as1
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