RAYMOND EDWARD MATTHEWS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Raymond Matthews CRD No. 5086781 Respondent. DISCIPLINARY PROCEEDING No.2006006553301 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT January 18, 2008 INTRODUCTION Disciplinary Proceeding No. 2006006553301 was filed on October 24, 2007, by the Department of Enforcement of the Financial Industry Regulatory Authority
Reference 2006006553301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5086781

Other names1

Also known as1

RAYMOND MATTHEWS

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.