ANTONIO HERRERO-ROVIRA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Antonio Herrero-Rovira (CRD No. 1878587), Respondent. DISCIPLINARY PROCEEDING No. 20080138336 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about March 2001 through April 2007, Antonio Herrero-Rovira ("Herrero"), a former registered representative with UBS Financial Services, Inc. of Puerto Rico
10/07/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTONIO HERRERO-ROV1RA (CRD No. 1878587) Respondent Disciplinary Proceeding No. 20080138336 Hearing Officer - RSH DEFAULT DECISION October 7, 2010 For converting customer funds, in violation of Rules 2330(a) and 2110; forging customers' signatures, in violation of Rule 2110; and failing to respond to FINRA's requests for information
Reference 2008013833601data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1878587

Other names2

Also known as2

ANTONIO HERREROROVIRAANTONIO HERRERO- ROVIRA

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