HAROLD F. SCHARFETTER JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037414301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Harold F. Scharfetter, Jr., Respondent Registered Representative CRD No. 1193087 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Harold F. Scharfetter, Jr. ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2013037414301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1193087 |
Other names1
Also known as1
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