CHARLES E. O'HARA

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021348701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles E. O'Hara, IV, Respondent Investment Company and Variable Contracts Products Representative, Corporate Securities and Direct Participation Programs Representative, and General Securities Principal CRD No. 735399 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and
Reference 2010021348701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034512101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles E. O'Hara (CRD No. 735399), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Charles E. O'Hara ("O'Hara" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2012034512101data-portal.finra.org finra.org

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