MARIA D. PUMARIEGA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/02/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARIA D. PUMARIEGA (CRD No. 2419535), Respondent. Disciplinary Proceeding No. 20070118847 COMPLAINT The Department of Enforcement alleges: JURISDICTION 1. Respondent first became registered with a FINRA member in 1993. From on or about October 1, 2000 through on or about December 3, 2007, Respondent was an associated person with Wachovia Securities, LLC
07/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARIA D. PUMARIEGA (CRD No. 2419535), Respondent. Disciplinary Proceeding No. 20070118847 DEFAULT DECISION Hearing Officer - Sara Nelson Bloom July 15, 2009 For conversion of funds, in violation of Rule 2110, and for failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any FINRA member in any capacity.
Reference 2007011884701data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2419535 |
Other names1
Also known as1
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