DANIEL EDWARD BECERRIL II
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/23/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL EDWARD BECERRIL, II (CRD No. 4489715), Respondent. Disciplinary Proceeding No. 2009018944001 Hearing Officer - SNB HEARING PANEL DECISION February 23, 2012 Respondent is barred for: (1) making material misstatements and omissions to a customer, in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and NASD Rules 2120 and 2110, and FINRA Rules 2020 and
12/02/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Daniel Edward Becerril, II (CRD No. 4489715), Respondent DISCIPLINARY PROCEEDING No. 2009018944001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This matter involves registered representative Becerril, who fraudulently misrepresented to a prospective customer that he was going to invest her funds in a mutual fund. Instead, Becerril placed the customer's funds into a bank account he
Reference 2009018944001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4489715 |
Other names1
Also known as1
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