CARLOS SUAZO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CARLOS SAUAZO (CRD No. 5481182), Respondent.Disciplinary Proceeding No. 2008013754101 Hearing Officer - RSH DEFAULT DECISION March 19, 2010 For misuse of funds, in violation of Rule 2110, and for failure to provide requested information, in violation of Rules 8210 and 2010, the Respondent was barred from associating with
Reference 2008013754101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5481182 |
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