MICHAEL J MENENDEZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/09/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. MICHAEL J. MENENDEZ (CRD No. 4895632) Respondent. Disciplinary Proceeding No. 2006005688201 Hearing Officer - AWH DEFAULT DECISION July 9, 2007 Formerly registered representative misappropriated funds belonging to his member firm's affiliated bank, in violation of NASD Conduct Rule 2110, and failed to respond to NASD staff requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110. Respondent barred for
Reference 2006005688201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4895632

Other names1

Also known as1

MICHAEL J. MENENDEZ

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