BRIAN EDWARD PINEAU
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN EDWARD PINEAU (CRD No. 2562832), Respondent. Disciplinary Proceeding No. 2011028001901 Hearing Officer - RLP DEFAULT DECISION September 7, 2012 For falsifying annuity applications, in violation of FINRA Rule 2010, and for causing firm to maintain false records, in violation of NASD Rule 3110(a) and FINRA Rule 2010,
Reference 2011028001901finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2562832 |
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