JOE DESOTO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/22/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOE DESOTO (CRD No. 2879888), Respondent. Disciplinary Proceeding No. 2006004240501 Hearing Officer - DRP DEFAULT DECISION February 22, 2007 Respondent is barred from association with any member firm in any capacity for willfully failing to disclose material facts on a Form U-4, in violation of NASD Conduct Rule 2110 and IM-1000-1, and for failing to respond to requests for information, in violation of NASD Procedural Rule 8210 and
Reference 2006004240501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2879888 |
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