GREGORY J. DUFFY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GREGORY J. DUFFY (CRD No. 5145614), Respondent. Disciplinary Proceeding No. 2007007358601 Hearing Officer-Andrew H. Perkins DEFAULT DECISION June 1, 2009 The Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for information, in violation of Conduct Rule 2110 and Procedural Rule 8210. Appearances Gary A. Chodosh, Senior Regional
Reference 2007007358601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5145614 |
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