IVAN ARMAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/11/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. IVAN ARMAS (CRD No. 4993347) Respondent. Disciplinary Proceeding No. 2007010747201 COMPLAINT The Department of Enforcement alleges: RESPONDENT AND JURISDICTION 1. Ivan Armas ("Armas") first became registered, as an investment company and variable contracts products representative in February 2006, with FINRA member Farmers Financial Solutions, Inc. ("FFS"). Armas was terminated by FFS on September
12/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. IVAN ARMAS (CRD No. 4993347), Respondent. Disciplinary Proceeding No. 2007010747201 DEFAULT DECISION Hearing Officer-SW Date: December 18, 2008 Respondent is barred from associating with any FINRA member firm in any capacity for: (I) converting $19,721.34 of his customers' insurance premiums to his own benefit and use, in violation of Conduct Rule 2110; and (2) failing to appear for an on-the-record
Reference 2007010747201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4993347 |
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