DOUGLAS EUGENE VANNOY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/01/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Douglas Eugene Vannoy (CRD No. 2711538), Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While registered with Wachovia Securities, LLC (now, Wells Fargo Advisors, LLC; "Wachovia" or the "Firm"), Douglas Eugene Vannoy ("Vannoy") misappropriated $20,750 from a deceased customer of his firm employer,
01/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUGLAS EUGENE VANNOY (CRD No. 2711538), Respondent. Disciplinary Proceeding No. 20090180850 Hearing Officer - MC DEFAULT DECISION January 13, 2012 Respondent Douglas Eugene Vannoy is barred from associating with any FINRA member firm in any capacity for (i) misappropriating funds from the state of a deceased customer,
Reference 2009018085001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2711538 |
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