Gustavo Alberto Trujillo Franco

02/26/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gustavo Trujillo Franco (CRD No. 6793684), Respondent. Disciplinary Proceeding No. 201906488450 COMPLAINT Department of Enforcement alleges: SUMMARY 1. On November 18, 2019, and December 16, 2019, Gustavo Trujillo Franco failed to appear for testimony under oath that FINRA’s Department of Member Supervision (“Member Supervision”) had requested

Reference 2019064884502finra.orgdata-portal.finra.org

02/26/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gustavo Trujillo Franco (CRD No. 6793684), Respondent. Disciplinary Proceeding No. 2019064884501 COMPLAINT Department of Enforcement alleges: SUMMARY 1. On November 18, 2019 and December 16, 2019, Gustavo Trujillo Franco failed

05/28/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GUSTAVO TRUJILLO FRANCO (CRD No. 6793684), Respondent. Disciplinary Proceeding No. 2019064884501 Hearing Officer-RES DEFAULT DECISION May 28, 2020 Respondent is barred from associating with any FINRA member in any capacity for failing to appear for on-the-record testimony as required by FINRA Rule 8210. Appearances For Complainant: J. Loyd Gattis, Esq., Michael P. Manly, Esq., Department of Enforcement, Financial Industry Regulatory Authority

Reference 2019064884501data-portal.finra.orgfinra.orgdata-portal.finra.org