LEE ROBERT SOBEL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Lee Robert Sobel (CRD No. 2232865) Respondent. DISCIPLINARY PROCEEDING No. 2014038991402 COMPLAINT The Department of Enforcement (the "Department") alleges: SUMMARY 1. Respondent Lee Robert Sobel ("Sobel") failed to appear and provide investigative testimony on two occasions, in violation of FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Sobel entered the securities industry
12/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. LEE ROBERT SOBEL (CRD No. 2232865), Respondent. Disciplinary Proceeding No. 2014038991402 Hearing Officer-RES DEFAULT DECISION December 14, 2015 Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear and provide sworn testimony. Soo H. Im, Esq., for FINRA's Department of Enforcement. No appearance by or on behalf of Lee Robert Sobel,
Reference 2014038991402data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2232865

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