ROBERT EDWARD LEE JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ROBERT EDWARD LEE, JR. (CRD No. 1824202), RESPONDENT. DISCIPLINARY PROCEEDING No. 2011030145201 Hearing Officer - LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 19, 2013 INTRODUCTION Disciplinary Proceeding No. 2011030145201 was filed on July 12,2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent
07/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ROBERT EDWARD LEE, JR. (CRD No. 1824202), RESPONDENT. DISCIPLINARY PROCEEDING No. 2011030145201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 25, 2008 and October 31, 2008, while registered with former FINRA member firm, GunnAllen Financial, Inc. ("GunnAllen"), Respondent Robert Edward Lee, Jr. ("Lee") failed to follow customer LB' s instructions regarding
Reference 2011030145201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1824202 |
Other names1
Also known as1
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