Don-Mario Oved Saint-Paul

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DON-MARIO OVED SAINT-PAUL REGISTERED REPRESENTATIVE (CRD. NO. 5467633) RESPONDENT. DISCIPLINARY PROCEEDING No. 2012034823401 HEARING OFFICER The Department of Enforcement alleges: SUMMARY 1. While Respondent Don-Mario Oved Saint-Paul ("Saint-Paul") was registered with Rockwell Global Capital LLC (BD No. 142485) ("Rockwell" or the "Firm"),
Reference 2012034823401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Don-Mario Oved Saint-Paul ("Saint-Paul") Registered Representative (CRD NO. 5467633) Respondent. Disciplinary Proceeding No. 2012034823401 Hearing Officer: AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 19, 2014 INTRODUCTION Disciplinary Proceeding No. 2012034823401 was filed on March 28, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
Reference 2012034823401data-portal.finra.org finra.org

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