Dustin Paul Shafer
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/07/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020068114401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dustin Paul Shafer (Respondent) Former General Securities Representative CRD No. 4198962 Pursuant to FINRA Rule 9216, Respondent Dustin Paul Shafer submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020068114401finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4198962 |
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