GABRIEL N. SMITH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/10/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gabriel N. Smith, (CRD No. 2950071), Respondent. DISCIPLINARY PROCEEDING No. 2012034568401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While associated with MML Investors Services, LLC, Gabriel N. Smith solicited and accepted funds from a firm customer to invest in municipal securities. Instead of investing the funds, Smith deposited the checks into a bank account under his
04/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GABRIEL N. SMITH (CRD No. 2950071), Respondent. Disciplinary Proceeding No. 2012034568401 Hearing Officer - CC DEFAULT DECISION April 23, 2014 Respondent converted customer funds and failed to respond to multiple requests for information and documents. For this misconduct, Respondent is barred in all capacities. Appearances Mark J. Fernandez, Esq.,
Reference 2012034568401data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2950071 |
Other names1
Also known as1
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