MARCOS A. GODFREY

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/18/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Marcos Godfrey, CRD No. 4230793 Respondent. Disciplinary Proceeding No. C8A050019 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Marcos Godfrey (Respondent Godfrey) entered the securities industry in July 2000 as an Investment Company/General Contracts Representative of Met Life Securities, a member
Reference C8A050019finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/25/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Disciplinary Proceeding No. C8A050019 Complainant, v. MARCOS A. GODFREY (CRD No. 4230793), Respondent. DEFAULT DECISION Hearing Officer July 25, 2005 Respondent is barred from associating with any member firm in any capacity for: (i) violating NASD Conduct Rules 2110 and 2330(a) by misusing the funds of customer MP; and (ii) violating NASD Conduct Rule 2110 and NASD
Reference C8A050019data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4230793

Other names2

Also known as2

MARCOS ARRINGTON GODFREYMARCOS GODFREY

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