STUART M. HAMMERLE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/11/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STUART M. HAMMERLE (CRD No. 1008986), Respondent. Disciplinary Proceeding No. C9A050017 Hearing Officer-Andrew H. Perkins DEFAULT DECISION July 11, 2005 Respondent converted funds from a customer, in violation of NASD Conduct Rules 2330(a) and 2110, and failed to respond to requests for information, in violation of NASD Conduct Rule 2110 and NASD Procedural Rule 8210. The Respondent is barred from association with any member firm in
Reference C9A050017data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1008986

Other names1

Also known as1

STUART MICHAEL HAMMERLE

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