KEVIN ALBERT BUSTO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Kevin Busto (CRD No. 2584875), Respondent. DISCIPLINARY PROCEEDING No. 2014041252402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From June through July 2015, Kevin Busto ("Busto" or "Respondent"), failed to appear twice for on-the-record testimony noticed pursuant to FINRA Rule 8210. As a result, Busto violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION
05/04/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN BUSTO (CRD No. 2584875), Respondent. Disciplinary Proceeding No. 2014041252402 Hearing Officer-KBW DEFAULT DECISION May 4, 2016 Respondent failed to provide testimony in connection with a FINRA investigation in violation of FINRA Rules 8210 and 2010. Respondent is barred from associating with any FINRA member firm in any capacity. For the Complainant: Christina J. Kang, Esq.,
Reference 2014041252402data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2584875 |
Other names1
Also known as1
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