GEORGE E. LEVENTIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/21/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GEORGE E. LEVENTIS (CRD No. 2583180), Respondent. Disciplinary Proceeding No. EAF0400220003 DEFAULT DECISION Hearing Officer - SW Date: March 21, 2006 Finding that Respondent omitted material information and made material misrepresentations, including price predictions, when soliciting customers to purchase securities, the Hearing Officer barred Respondent from associating with any capacity for violating Section 10(b) of the
Reference EAF0400220003data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2583180 |
Other names1
Also known as1
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