Douglas Fulton Kaiser
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066903601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas Fulton Kaiser (Respondent) General Securities Principal CRD No. 1674570 Pursuant to FINRA Rule 9216, Respondent Douglas Fulton Kaiser submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2020066903601data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, DAWSON JAMES SECURITIES, INC. (BD No. 130645), ALBERT JAMES POLIAK (CRD No. 1270681), DOUGLAS FULTON KAISER (CRD No. 1674570), WILLIAM ARTHUR FOX (CRD No. 1838232), and THOMAS WILLIAM HANDS (CRD No. 1332915), Respondents. Disciplinary Proceeding No.20090161585 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT
Reference 2009016158501finra.orgdata-portal.finra.org
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