VICKI LEE PERCHINSKE

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. VICKI LEE PERCHINSKE (CRD No. 2628617), Respondent. Disciplinary Proceeding No. 20100248437 Hearing Officer - SNB DEFAULT DECISION December 8, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for misusing and converting customer funds, in violation of NASD Conduct Rules 2330(a) and 2110, and FINRA Conduct Rules 2150(a) and 2010, and for failing to appear
Reference 2010024843701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/20/2011: Financial Industry Regulatory Authority Office of Hearing Officers Department of Market Regulation, Complainant, v. Vicki L. Perchinske (CRD No. 2628617), Respondent. Disc. Proc. No. 20100248437 Hearing Officer: COMPLAINT The Department of Market Regulation alleges: Summary 1. Between approximately late February 2006 and August 2010, Vicki L. Perchinske ("Perchinske"), while registered at FINRA member firms, made improper use of, and converted, approximately $430,420.71 in funds from five customers.
Reference 2010024843701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2628617

Other names1

Also known as1

VICKI L. PERCHINSKE

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