LISA M HILLER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/26/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003673301 TO: Department of Enforcement NASD RE: Lisa M. Hiller, Respondent Non-Registered Fingerprint Person CRD No. 2464992 Pursuant to Rule 9216 of NASD Code of Procedure, Lisa M. Hiller (Respondent) 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
Reference 2006003673301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2464992 |
Other names1
Also known as1
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