GREGG CHARLES LORENZO

Financial crime

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Securities and Exchange CommissionUS SEC Actions Due to Harmed InvestorsUnited States
sec.gov sec.gov
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GREGG CHARLES LORENZO (CRD No. 4525167) Respondent. Disciplinary Proceeding No. 20120321124-01 Hearing Officer-Sara Nelson Bloom HEARING PANEL DECISION, September 27, 2013 Respondent is barred from associating with any member firm in any capacity for willfully failing to timely amend his Form U4 to disclose an SEC investigation, in violation of FINRA Rules 1122 and 2010, and FINRA
Reference 2012032112401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Expedited Proceeding No. FPI130001 Complainant, STAR No. 2011030186901 V. Hearing Officer-Andrew H. Perkins GREGG CHARLES LORENZO (CRD No. 4525167), HEARING PANEL DECISION Respondent. June 18, 2013 Respondent is barred from associating with any member firm in any capacity for his refusal to appear for an on-the-record interview pursuant to FINRA Rule 8210. Appearances For the DEPARTMENT OF ENFORCEMENT,
Reference 2011030186901finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4525167

Other names1

Also known as1

Gregg C. Lorenzo

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