ERNESTO PAIZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERNESTO PAIZ (CRD No. 4582379), Respondent Disciplinary Proceeding No. 20090182111 Hearing Officer - SNB DEFAULT DECISION January 20,2011 Respondent is barred from associating with any FINRA registered firm in any capacity for misappropriating customer insurance premium payments, in violation of Conduct Rule 2010,
07/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ernesto Paiz (CRD No. 4582379), Respondent Disciplinary Proceeding No. 20090182111 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Ernesto Paiz ("Paiz"), while a registered employee of Allstate Financial Services, LLC ("the Firm"), misappropriated $7,446.62 in customer insurance premium payments.
Reference 2009018211101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4582379 |
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