SEAN D FITZGERALD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/17/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SEAN D. FITZGERALD (CRD No. 5465012), Respondent. Disciplinary Proceeding No. 20100242409 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 17, 2012 Respondent is barred from associating with any FINRA registered firm in any capacity for converting funds from bank customers' accounts, in violation of FINRA Conduct Rule 2010; and failing to respond to requests for information, in violation of
Reference 2010024240901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5465012

Other names1

Also known as1

SEAN D. FITZGERALD

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