DEAN ALLEN RABER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DEAN ALLEN RABER (CRD No. 2214667), Respondent. Disciplinary Proceeding No. 2008016254501 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 21, 2010 Respondent is barred from associating with any member firm in any capacity for conversion of funds, in violation of NASD Conduct Rules 2110; and 2330(a); and for failing to respond to requests for information, in violation of Procedural Rule 8210
01/07/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Dean Allen Raber CRD No. 2214667, Respondent. DISCIPLINARY PROCEEDING NO. 2008016254501 HEARING OFFICER - COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2007 and November 2007, Dean Allen Raber ("Raber" or "Respondent") misappropriated approximately $44,000 that had been entrusted to him by an individual, who was not his customer or a customer of his member firm employer,
Reference 2008016254501data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2214667 |
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