DAVID E. COOK
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. DAVID E. COOK Registered Representative (CRD No. 2503250) Respondent Disciplinary Proceeding No. C8A050030 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. David E. Cook ("Respondent Cook") entered the securities industry in December 1994 as a General Securities Representative with a member of NASD. On September 9, 1997, Respondent Cook became a General Securities Principal. Respondent Cook
06/24/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, vs. DAVID E. COOK, Registered Representative, (CRD No. 2503250) Respondent. Disciplinary Proceeding No. C8A050030 Hearing Officer Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. C8A050030 was filed on April 28, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent David E. Cook ("Respondent") submitted an Offer of Settlement ("Offer") to Complainant on June 14, 2005.
Reference C8A050030data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2503250 |
Other names1
Also known as1
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