HAROLD PHILIP DONNERSTAG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/04/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. HAROLD PHILIP DONNERSTAG (CRD No. 2691932), Respondent. Disciplinary Proceeding No. C9B040103 Hearing Officer - SNB DEFAULT DECISION April 4, 2005 Respondent is barred from associating with any NASD member in any capacity for failing to respond to Staff requests for information, in violation of NASD Procedural Rule 8210 and Conduct Rule 2110. In light of the bar, no additional sanctions is imposed for settling a
Reference C9B040103data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2691932 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.