NICHOLAS MICHAEL RUBINO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NICHOLAS MICHAEL RUBINO (CRD No. 5327284), Respondent. Disciplinary Proceeding No. 2008014873201 Hearing Officer - MAD HEARING PANEL DECISION June 15, 2010 Respondent cheated on the Series 7 examination, in violation of Membership and Registration Rule 1080 and Conduct Rule 2110. The Respondent is barred from association with any member firm in any capacity. Appearances For Complainant: Kevin G.
Reference 2008014873201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5327284 |
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