FRANCIS KIMARU
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FRANCIS KIMARU (CRD No. 4821531), Respondent. Disciplinary Proceeding No. 20080129321 Hearing Officer - Sara Nelson Bloom DEFAULT DECISION July 15, 2009 Respondent is barred from associating with any FINRA member in any capacity for failing to provide requested information, in violation of Rules 8210 and 2110. Appearances Robert Moreiro, Esq., New York, New York, for the Department of
Reference 2008012932101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4821531 |
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