CARLOS C SARMIENTO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/01/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Carlos C Sarmiento (CRD No. 5003883), Respondent. Disciplinary Proceeding No. 2009019888601 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 1, 2010 INTRODUCTION Disciplinary Proceeding No. 2009019888601 was filed on July 16, 2010 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Carlos C. Sarmiento submitted an
09/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Carlos C. Sarmiento (CRD No. 5003883), Respondent. DISCIPLINARY PROCEEDING NO. 2009019888601 HEARING OFFICER: COMPLAINT The Department of Enforcement ("Department") alleges: SUMMARY 1. From approximately March 11, 2009 through approximately August 7, 2009, Carlos C. Sarmiento converted a total of approximately $82,350 through seven checks that he took and forged from a joint brokerage account
Reference 2009019888601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5003883 |
Other names1
Also known as1
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