EDWARD ALLEN MANTANONA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EDWARD ALLEN MANTANONA, (CRD No. 4455860), Respondent. Disciplinary Proceeding No. 2009021067101 Hearing Officer - Sara Nelson Bloom AMENDED DEFAULT DECISION May 2, 2012 Respondent is barred from associating with any FINRA-registered firm in any capacity for receiving unauthorized customer loans, in violation of NASD Rules 2370
Reference 2009021067101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4455860 |
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