ANGEL LUIS SUAREZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANGEL LUIS SUAREZ (CRD No. 3116550), Respondent. DISCIPLINARY PROCEEDING No. 20090199535 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Angel Luis Suarez (i) effected or caused to be effected 10 securities transactions in a customer account without the customer's prior knowledge, authorization, or consent, in violation of FINRA Rule 2010, and (ii) failed to respond to four
12/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANGEL LUIS SUAREZ (CRD No. 3116550), Respondent. Disciplinary Proceeding No. 20090199535 Hearing Officer - LBB DEFAULT DECISION December 7, 2011 Respondent Angel Luis Suarez is barred from associating with any FINRA member firm in any capacity for violating FINRA Conduct Rule 2010 by effecting unauthorized trades in a customer's account. Respondent is also barred for violating FINRA Rule 8210 and
Reference 2009019953501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3116550 |
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