ANDRE MARI GONZALES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDRE MARI GONZALES (CRD No. 5494315), Respondent. Disciplinary Proceeding No. 2010024330002 Hearing Officer - MC DEFAULT DECISION January 25, 2012 Respondent Andre Mari Gonzales is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for information, in violation of FINRA Conduct Rule 2010 and Procedural Rule 8210. In light of the bar, it is
Reference 2010024330002data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5494315 |
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