PHILIPPE ALFRED EUGENE DESAINT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/06/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PHILIPPE DESAINT (CRD No. 4292420), Respondent. Disciplinary Proceeding NO. E102004090301 DEFAULT DECISION Hearing Officer - SW Dated: September 6, 2006 Respondent was barred for (i) violating NASD Conduct Rules 2110 and 3110, by falsifying documents and causing his employer to fail to keep accurate books and records, and (ii) violating NASD Conduct Rule 2110 and NASD Procedural Rule 8210 by failing to respond to requests for
Reference E102004090301finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4292420

Other names1

Also known as1

PHILIPPE DESAINT

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