VLADIMIR KHOSID
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Vladimir Khosid (CRD No. 5603183), Respondent. Disciplinary Proceeding No. 2010023570001 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: 01/19/2012 INTRODUCTION Disciplinary Proceeding No. 20100235700 was filed on December 12, 2011 by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Vladimir Khosid submitted an Offer of
12/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Vladimir Khosid (CRD No. 5603183), Respondent DISCIPLINARY PROCEEDING NO. 2010023570001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While registered as a broker with a FINRA regulated broker-dealer and acting as assistant manager at a bank affiliate of that broker-dealer, Respondent Vladimir Khosid ("Khosid" or "Respondent"), together with an unregistered co-conspirator, wrongfully
Reference 2010023570001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5603183 |
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