EUGENE ROY UMHAFER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/05/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005642201 TO: Department of Enforcement NASD RE: Eugene Roy Umhafer (CRD No. 1076841) Pursuant to Rule 9216 of NASD Code of Procedure, Eugene Roy Umhafer ("Umhafer") submits 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 Umhafer alleging
Reference 2006005642201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1076841 |
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