ERNESTO ZUNIGA GOMEZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ernesto Zuniga Gomez (CRD No. 4713558), Respondent. DISCIPLINARY PROCEEDING No. 2008015692801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Ernesto Zuniga Gomez ("Zuniga") misused customer funds, falsified firm records, and failed to comply with requests for information from FINRA. On three separate occasions, Zuniga transferred funds between the accounts of his different
03/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERNESTO ZUNIGA GOMEZ (CRD No. 4713558) Respondent. Disciplinary Proceeding No. 2008015692801 Hearing Officer - MAD DEFAULT DECISION March 2, 2011 Respondent is barred from associating with any member firm in any capacity for (1) improperly using customer funds, in violation of Conduct Rules 2330(a) and 2110; (2) falsifying firm records, in violation of Conduct Rule 2110; and (3) failing to respond
Reference 2008015692801data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4713558

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