HERSCHELL EUGENE BUCHANAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/25/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001785001 TO: Department of Enforcement NASD RE: Herschell Eugene Buchanan CRD No. 2740909 Pursuant to Rule 9216 of NASD Code of Procedure, Herschell Eugene Buchanan 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 me alleging violations
Reference 2005001785001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2740909 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.