TIMOTHY B. RUGGIERO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Timothy B. Ruggiero [CRD No. 2119642] and Peter S. Chung [CRD No. 1700865] Respondents Disciplinary Proceeding 2008011675301 Hearing Officer The Department of Enforcement alleges: SUMMARY 1. Between February 2006 and October 2007, Timothy B. Ruggiero, the CEO of Brookshire Securities Corporation ("Brookshire"), and Peter S. Chung, a registered representative of Brookshire who indirectly held a
12/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TIMOTHY B. RUGGIERO (CRD No. 2119642), Respondent. Disciplinary Proceeding No. 2008011675301 Hearing Officer - MAD EXTENDED HEARING PANEL DECISION December 31, 2013 Respondent Timothy B. Ruggiero is barred from associating with any FINRA registered firm in any capacity for: (1) engaging in a stock price manipulation in violation of Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b
Reference 2008011675301data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2119642

Other names1

Also known as1

TIMOTHY BURKE RUGGIERO

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