CARLA N AMIEIRO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Carla N. Amieiro (CRD No. 2975952), Respondent. Disciplinary Proceeding No. 20090202313-01 Hearing Officer-LOM DEFAULT DECISION January 4, 2012 Respondent is barred from associating with any FINRA member in any capacity for twice failing to appear for On-The-Record testimony in connection with a FINRA investigation
Reference 2009020231301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2975952

Other names1

Also known as1

CARLA N. AMIEIRO

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