SETH BOTONE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SETH BOTONE (CRD No. 4703683), Respondent. Disciplinary Proceeding No. 2005000075704 Hearing Officer - SNB DEFAULT DECISION July 15, 2008 For selling unregistered securities in violation of Rule 2110, Respondent is barred in all capacities. Appearances Gregory R. Firehock, Esq., Jonathan I. Golumb, Esq., Washington, DC, for the Department of Enforcement. No appearance by Respondent.
Reference 2005000075704data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4703683

Other names1

Also known as1

SETH DELOS BOTONE

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