RICHARD MICHAEL HUGHES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/30/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050012141-03 TO: Department of Market Regulation NASD FROM: Richard Michael Hughes CRD #2783806 Pursuant to Rule 9216 of NASD Code of Procedure, I, Richard Michael Hughes, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged role violations described in Part U below. I submit this AWC on the
Reference 2005001214103data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2783806 |
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