RICHARD L. SERRANO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/31/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Richard L. Serrano, CRD No. 2617246, Respondent. Disciplinary Proceeding No. 2006006216501 Hearing Officer - DRP ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 31, 2007 INTRODUCTION Disciplinary Proceeding No. 2006006216501 was filed on July 23, 2007, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA"). Respondent Richard L. Serrano submitted an Offer
Reference 2006006216501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4201647

Other names1

Also known as1

RICHARD LEWIS SERRANO

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