RUBEN MARIANO SILVA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RUBEN MARIANO SILVA (CRD No. 1272907), Respondent. Disciplinary Proceeding No. 20060071098-01 Hearing Officer-Andrew H. Perkins DEFAULT DECISION October 14, 2008 Respondent is barred for misuse of customer funds, in violation of Conduct Rule 2110. Appearances Mark A. Graves, Senior Regional Counsel, San Francisco, CA (Mark P. Dauer, New Orleans, LA, Of Counsel) for the Department of Enforcement.
Reference 2006007109801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1272907 |
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