HAL BUTTS

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008048101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Respondent Member BD No. Hal Butts, Respondent Introducing Broker-Dealer/Financial and Operations Principal [CRD No. 4029277] Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2007008048101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/12/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PORTER BINGHAM, (CRD No. 1450227) and HAL BUTTS, (CRD No. 4029277) Respondent. Disciplinary Proceeding No. E072005021301 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 12, 2007 INTRODUCTION Disciplinary Proceeding No. E072005021301 was filed on January 11, 2007, by the Department of Enforcement of NASD ("Complainant"). Respondent Hal Butts submitted an Offer of Settlement ("Offer") to Complainant on May
Reference E072005021301data-portal.finra.org finra.org

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