CHRISTOPHER FRANCIS SMITH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DISCIPLINARY PROCEEDING No. 2012032715001 CHRISTOPHER FRANCIS SMITH (CRD No. 2710455), Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 29, 2011 through February 7, 2012 ("relevant period"), Respondent Christopher Francis Smith ("Smith") violated FINRA Rules 2150(a) and 2010 by converting $7,000 from a brokerage customer to his personal use, without authority
06/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER FRANCIS SMITH (CRD No. 2710455), Respondent. Disciplinary Proceeding No. 2012032715001 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 4, 2013 INTRODUCTION Disciplinary Proceeding No. 2012032715001 was filed on April 30, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
Reference 2012032715001finra.org data-portal.finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2710455

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