RUBEN A CRUZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/13/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. RUBEN A. CRUZ (also known as RUBEN CRUZ-ALVAREZ) (CRD No. 5070572), Respondent. Disciplinary Proceeding No. 2008014623501 Hearing Officer-Andrew H. Perkins DEFAULT DECISION August 13, 2009 The Respondent was barred for violating Conduct Rule 2110 and Procedural Rule 8210 by failing to respond to requests for information. In light of the bar, no additional sanction was imposed for his violation
Reference 2008014623501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5070572

Other names1

Also known as1

RUBEN A. CRUZ

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.