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FINRA Disciplinary Actions Online

Displaying 1 - 2 of 2
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017054755206 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL G. MAUGHAN CRD No. 2561363, Respondent. Disciplinary Proceeding No. 2017054755206 Hearing Officer-RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 15, 2019 INTRODUCTION Disciplinary Proceeding No. 2017054755206 was filed on August 14, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Maughan submitted an Offer of Settlement (Offer) to Complainant Orders Accepting Offers of Settlement
Daniel G. Maughan
10/15/2019
2017054755206 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL G. MAUGHAN CRD No. 2561363, Respondent. Disciplinary Proceeding No. 2017054755206 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel G. Maughan, while associated with Financial West Group ("Financial West" or the "Firm"), a FINRA-regulated broker-dealer, churned and excessively Complaints
Daniel G. Maughan
08/14/2019