RICHARD WINSOR OHRN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD WINSOR OHRN, (CRD No. 5106991), Respondent. Disciplinary Proceeding No. 2012030987301 Hearing Officer-KW ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 28, 2015 INTRODUCTION Disciplinary Proceeding No. 2012030987301 was filed on August 22, 2014 and amended on December 30, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority
12/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS. Department of Enforcement, Complainant, V. Richard Winsor Ohrn, (CRD No. 5106991), Respondent. DISCIPLINARY PROCEEDING No. 2012030987301. Hearing Officer-AHP. AMENDED COMPLAINT. The Department of Enforcement alleges: SUMMARY 1. During the period February to May 2011, Respondent Richard Ohrn converted a total of $15,250 from two of his elderly customers at Chase Investment Services Corporation ("CISC") who also were customers
Reference 2012030987301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5106991 |
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