MICHAEL QUILES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/02/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Quiles III (CRD No. 4351166), Respondent. DISCIPLINARY PROCEEDING NO. 2016049315202 COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. In 2017, Enforcement opened an investigation into Michael Quiles’ (“Quiles”) potential misconduct regarding a purported loan he received from a customer of a non-FINRA-regulated bank affiliated with his member firm employer.
07/17/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Quiles III (CRD No. 4351166), Respondent. Disciplinary Proceeding No. 2016049315202 Hearing Officer: LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 17, 2018 INTRODUCTION Disciplinary Proceeding No. 2016049315202 was filed on February 2, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2016049315202data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4351166 |
Other names1
Also known as1
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