RICHARD M BERTELETTI, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD M. BERTELETTI, Jr. (CRD No. 2508308), Respondent. Disciplinary Proceeding No. 2007011310001 Hearing Officer - LBB DEFAULT DECISION March 4, 2009 Respondent is barred from association with any member firm for creating a false and misleading account summary and providing it to a client in violation of Conduct Rule 2110
Reference 2007011310001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2508308 |
Other names1
Also known as1
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