GIOVI ROGELIO ULLOA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/22/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GIOVIROGELIO ULLOA (CRD No. 4579872), Respondent. Disciplinary Proceeding No. 2007007253801 Hearing Officer - AWH DEFAULT DECISION May 22, 2008 Respondent is barred from associating with any FINRA member in any capacity for failing to respond to requests for information, in violation of NASD Rules 8210 and 2110. Appearances Frank M. Weber, Esq., for the Department of Enforcement. No
Reference 2007007253801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4579872 |
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