JOHN ALLAN WALDOCK, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN ALLAN WALDOCK, JR. (CRD No. 2995364), Respondent. Disciplinary Proceeding No. 2012031142101 Hearing Officer-RLP HEARING PANEL DECISION May 8, 2014 For converting client property in violation of FINRA Rule 2010, Respondent John Allan Waldock, Jr. is barred from associating with any FINRA member firm in any capacity. Appearances Seema Chawla, Esq., Kansas City, MO, and
07/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John Allan Waldock, Jr. (CRD No. 2995364), Respondent. DISCIPLINARY PROCEEDING No. 2012031142101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While associated with Lazard Middle Market LLC ("Lazard" or the Firm), John Allan Waldock ("Waldock") converted a customer' s property by making personal use of retail gift cards provided by the customer to Lazard for business
Reference 2012031142101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2995364 |
Other names1
Also known as1
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