KEVIN GUZMAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN GUZMAN (CRD No. 4497415), Respondent. Disciplinary Proceeding No. 20050000720-02 DEFAULT DECISION Hearing Officer -SW Date: April 9, 2008 Respondent Guzman was barred from associating with any FINRA member firm in any capacity for (i) excessive trading, churning, and making unsuitable recommendations
12/04/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. KEVIN GUZMAN (CRD No. 4497415), RESPONDENT, AND RESPONDENT. DISCIPLINARY PROCEEDING No. 20050000720-02 HEARING OFFICER- COMPLAINT The Department of Enforcement alleges: JURISDICTION Kevin Guzman 1. On or around February 6, 2002. Kevin Guzman first became registered with NASD as a General Securities Representative through an association with a member firm. 2. Guzman's registration through that firm ended on or around
Reference 2005000072002data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4497415 |
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