DONALD R. DUNAKIN III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Donald R. Dunakin, III (CRD NO. 2838663), Respondent. DISCIPLINARY PROCEEDING No. 20070105588-01 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Donald R. Dunakin, III, advised customer MS, an 80-year-old retiree, to obtain a home loan and use the proceeds to fund a securities account. Using the loan proceeds, Respondent recommended and effected over 100 securities
11/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DONALD R. DUN AKIN, III (CRD No. 2838663), Respondent. Disciplinary Proceeding No. 20070105588-01 Hearing Officer-Andrew H. Perkins DEFAULT DECISION November 5, 2009 Respondent is barred from associating with any member firm in any capacity for making unsuitable recommendations, in violation of Conduct Rules 2310(a) and 2110; and providing false testimony to FINRA staff in violation of Procedural
Reference 2007010558801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2838663 |
Other names1
Also known as1
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