DAVID A. SCHAMS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David A. Schams, CRD No. 1587140, Respondent. Disciplinary Proceeding No. 20090182932 Hearing Officer Sara Nelson Bloom ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 3, 2011 INTRODUCTION Disciplinary Proceeding No. 20090182932 was filed on September 1, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Prior to the September 1, 2011
05/27/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David A. Schams (CRD No. 1587140), Respondent Disciplinary Proceeding No. 20090182932 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Over a nearly two year period, from October 2007 to May 29,2009, ("the relevant period"), while registered with OneAmerica, David A. Schams ("Schams" or "Respondent") misappropriated over $120,000 from his customer and used those funds for his personal use
Reference 2009018293201data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1587140

Other names1

Also known as1

DAVID ALAN SCHAMS

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