MICHAEL A POUTRE II
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 2008011759201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael A. Poutre, II Registered Principal (CRD No. 2482252) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michael A. Poutre, II, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2008011759201data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/08/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael A. Poutre, II CRD No. 2482252 Respondent. Disciplinary Proceeding No. 9B20040410 Hearing Officer - AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 8, 2006 INTRODUCTION Disciplinary Proceeding No. E9B20040410 was filed on March 17, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Michael A Poutre ("Poutre") submitted an Offer of Settlement ("Offer") to Complainant on
Reference E9B2004041001data-portal.finra.orgfinra.org
Other names1
Also known as1
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