JOHN FRANCIS KAVALEC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/02/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. JOHN KAVALEC (CRD No. 1309961), Respondent. Disciplinary Proceedings No. 2005002707301 and No. 20060048428 (Consolidated) Hearing Officer - David M. FitzGerald DEFAULT DECISION May 2, 2007 Summary Respondent is barred from associating with any NASD member in any capacity for failing to respond to requests for information, in violation of Rules 8210 and 2110. In light of the bar, no additional sanctions are imposed on Respondent for
Reference 2006004842801finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1309961 |
Other names1
Also known as1
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