EDGAR RHODES HAUSER JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023178101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edgar Rhodes Hauser, Jr., Respondent Investment Company Products/Variable Contracts Representative CRD No. 723243 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2010023178101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 723243 |
Other names1
Also known as1
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