REGINALD CHARLES BENNETT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. REGINALD CHARLES BENNETT (CRD No. 4600005), Respondent. Disciplinary Proceeding No. 2008014446102 Hearing Officer-LOM DEFAULT DECISION October 13, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for his failure to provide testimony in violation of FINRA Rules 8210 and 2010. Appearances Soo H. Im, Senior Regional Counsel, Sandra J. Harris, Deputy Regional
Reference 2008014446102data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4600005 |
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