CHARLES E. SEVERT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES E. SEVERT (CRD No. 2866408), Respondent. Disciplinary Proceeding No. 2010023062101 Hearing Officer - LBB DEFAULT DECISION March 24, 2011 For misuse of funds (conversion) in violation of FINRA Rule 2010, Respondent is barred from associating with any FINRA member firm in any capacity. Respondent is also barred for failure to respond to requests for information, in violation of
12/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles E. Severt, (CRD No. 2866408), Respondent. DISCIPLINARY PROCEEDING NO. 2010023062101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While Charles Seven was associated with a FINRA member, he obtained possession of approximately $20,000 in funds from an Ohio church, without that entity's authorization, in violation of FINRA Rule 2010. Severt also failed to respond to
Reference 2010023062101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2866408 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.