STEVEN BARBOT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN BARBOT (CRD No. 5647121), Respondent. Expedited Proceeding No. FP1120012 STAR No. 20110282052 Hearing Officer - SNB HEARING PANEL DECISION December 6, 2012 For completely failing to respond to requests for information and documents made pursuant to FINRA Rule 8210, Respondent is suspended from FINRA membership, and, if he has not completely responded to the requests for information and
Reference 2011028205201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5647121 |
Other names1
Also known as1
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