EZRA DEMETRIUS SUBER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ezra Demetrius Suber (CRD No. 2494135), Respondent. DISCIPLINARY PROCEEDING No. 2010025041602 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Ezra Demetrius Suber converted for his personal use $2,000 that SS, a brokerage customer with whom he was in a romantic relationship, had given him to invest. Suber's conversion of SS's funds violated FINRA Rules 2150(a) and 2010.
01/03/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ezra Demetrius Suber (CRD No. 2494135), Respondent. DISCIPLINARY PROCEEDING No. 2010025041602 HEARING OFFICER: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 3, 2013 INTRODUCTION Disciplinary Proceeding No. 2010025041602 was filed on November 5, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Ezra Demetrius Suber
Reference 2010025041602data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2494135 |
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