LEO T. BUGGY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LEO T. BUGGY (1064915) Respondent. Disciplinary Proceeding No. 2008016455801 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. FINRA staff commenced an investigation of Respondent Leo T. Buggy (Buggy) after receiving notification that Buggy was terminated from AXA Advisors, LLC (the Firm) for, among other things, misappropriation
06/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LEO T. BUGGY CRD No. 1064916, Respondent Disciplinary Proceeding No. 200801645580101 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 25, 2010 INTRODUCTION Disciplinary Proceeding No. 2008016455801 was filed on May 4, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
Reference 2008016455801data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1064915

Other names1

Also known as1

LEO TIMOTHY BUGGY

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