SUSAN MAGOUIRK
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. SUSAN MAGOUIRK (CRD No, 4207160), Respondent. Disciplinary Proceeding No. 20080146442 Hearing Officer-RSH DEFAULT DECISION May 21, 2010 For conversion of customer funds and forgery, in violation of Rule 2110, the Respondent was barred from associating with any FINRA member in any capacity Appearances Robert
12/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. SUSAN MAGOUIRK (CRD No. 4207160), Respondent. Disciplinary Proceeding No. 20080146442 Complaint The Department of Enforcement alleges: JURISDICTION 1. Respondent was employed with USB Financial Services, Inc ("UBS" or the "Firm"), a FINRA registered broker/dealer, from on or about August 12, 2004 through on or about July 25, 2008 as a cashier. During her employment, Respondent was an
Reference 2008014644201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4207160 |
Other names1
Also known as1
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