REBA ROSE COPE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v REBA ROSE COPE CRD#5056512 RESPONDENT DISCIPLINARY PROCEEDING NO.20090202431-01 COMPLAINT The Department of Enforcement ("Enforcement") alleges: OVERVIEW 1. From approximately October 2007 to October 2009 Reba Rose Cope ("Cope" or "Respondent"), while dually employed with First Citizens Bank & Trust (the "Bank") and its
02/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. REBA ROSE COPE (CRD No. 5056512), Respondent. Disciplinary Proceeding No. 20090202431-01 Hearing Officer - LBB DEFAULT DECISION February 9, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for conversion of funds, in violation of FINRA Conduct Rule 2010. Respondent is also barred for
Reference 2009020243101data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5056512

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