CESAR MADRIGAL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cesar Madrigal (CRD No. 4572698), Respondent. DISCIPLINARY PROCEEDING No. 2009019322001 Hearing Officer - COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 2007 and June 2009, while associated with FINRA member Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC ("Wells Fargo" or the "Firm"), Respondent Cesar Madrigal, misappropriated $102,054.55 from five customers
02/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CESAR MADRIGAL (CRD No. 4572698), Respondent. Disciplinary Proceeding No. 2009019322001 Hearing Officer - SNB DEFAULT DECISION February 10, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for misappropriating bank customer funds, in violation of FINRA Conduct Rule 2010 and NASD Conduct Rule 2110, and failing to respond to requests for information and documents,
Reference 2009019322001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4572698 |
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