DOUGLAS C. GREEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUGLAS C. GREEN (CRD No. 1713027), Respondent. Disciplinary Proceeding No. 20080124442-01 Hearing Officer - SNB DEFAULT DECISION November 11, 2010 Respondent is barred from associating with any member firm in any capacity for engaging in fictitious and pre-arranged bond transactions, in violation of NASD Rule 2110; causing his firm's books and records to be inaccurate, in violation of NASD Rules
Reference 2008012444201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1713027

Other names1

Also known as1

DOUGLAS CHRISTOPHER GREEN

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