CARLOS O. MEDINA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/03/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fausto E. Callava, CRD No. 4139260, and Carlos O. Medina, CRD No. 4078775, Respondents. Disciplinary Proceeding No. E0720040885 01 Hearing Officer - Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT OF CARLOS O. MEDINA Date: February 3, 2006 INTRODUCTION Disciplinary Proceeding No. E0720040885 01 was filed on January 3, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Carlos O. Medina submitted an
Reference E072004088501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4078775

Other names1

Also known as1

CARLOS OMAR MEDINA

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