STEPHEN ALAN HACKETT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN A. HACKETT (CRD No. 4525059), Respondent. Disciplinary Proceeding No. 2008013690201 Hearing Officer-Andrew H. Perkins DEFAULT DECISION December 28, 2009 Respondent violated Conduct Rules 2370 and 2110 by borrowing money from his customer and failing to repay the loan. He also violated Procedural Rule 8210 and Conduct
Reference 2008013690201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4525059 |
Other names1
Also known as1
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