GABY DELISME
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GABY DELISME (CRD No. 4533627), Respondent. Disciplinary Proceeding No. 2013036799902 Hearing Officer-MJD DEFAULT DECISION August 6, 2015 Respondent is barred from associating with any FINRA member firm in any capacity for failing to attend an on-the record interview, in violation of FINRA Rules 8210 and 2010. Appearances Eric Hansen, Esq. and Richard Chin, Esq.
03/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS. Department of Enforcement, Complainant, v. Gaby Delisme (CRD No. 4533627), Respondent. DISCIPLINARY PROCEEDING No. 2013036799902. COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Gaby Delisme ("Delisme" or "Respondent"), a former registered representative at Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill" or the "Firm"), a FINRA-registered firm, was
Reference 2013036799902finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4533627 |
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