OSCAR G. GRADOS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Oscar G. Grados (CRD No. 4600863), Respondent. DISCIPLINARY PROCEEDING NO. 2007011315901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent recommended to 13 customers that they obtain home equity loans and use the proceeds to purchase mutual funds. Based on each customer's financial circumstances, Respondent's
04/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. OSCAR G. GRADOS (CRD No.4600863), Respondent. Disciplinary Proceeding No. 20070113159-01 Hearing Officer-RSH DEFAULT DECISION April 6, 2010 Respondent is barred from associating with any member firm in any capacity for making unsuitable recommendations, in violation of NASD Conduct Rules 2310(a) and 2110 and IM-2310-2.
Reference 2007011315901data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4600863 |
Other names1
Also known as1
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