ROGER JACK MOUALLEM

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2010: FINRA OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Roger J. Mouallem CRD No. 1815781 Respondent. Disciplinary Proceeding No. 2007009934703 Hearing Officer - RSH ORDER ACCEPTING OFFER OF SETTLEMENT FEBRUARY 1, 2010 INTRODUCTION Disciplinary Proceeding No. 2007009934703 was filed on November 19, 2009 by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Roger J. Mouallem submitted an Offer of Settlement ("Offer") to
Reference 2007009934703data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021587801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roger Jack Mouallem, Respondent General Securities Representative CRD No. 181578 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on
Reference 2010021587801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1815781

Other names1

Also known as1

ROGER J. MOUALLEM

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