PETER M. PETERSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/01/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PETER M. PETERSON (CRD No. 2825535), Respondent. Disciplinary Proceeding No. 2009017968701 Hearing Officer - LBB DEFAULT DECISION Dated: July 1, 2011 Respondent is barred from associating with any member firm in any capacity for failing to produce documents requested by FINRA staff, in violation of FINRA Procedural Rule 8210 and FINRA Conduct Rule 2010. Appearances Sean W. Firley, Esq., Senior
Reference 2009017968701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2825535 |
Other names1
Also known as1
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